United States
Environmental Protection
Agency
Enforcement and
Compliance Assurance
(2221-A)
EPA 300-B-00-002
March 2000
Protocol for Conducting
Environmental Compliance
Audits of Used Oil and
Universal Waste
Generators under the
Resources Conservation
and Recovery Act
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EPA Office of Compliance
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
Notice
The statements in this document are intended solely as guidance to aid regulated entities in complying with the
regulations. The guidance is not a substitute for reading the regulations and understanding all the requirements as it
applies to your facility. This guidance does not constitute rulemaking by the U.S. EPA and may not be relied on to
create a substantive or procedural right or benefit enforceable, at law or in equity, by any person. U.S. EPA may
decide to update this guide without public notice to reflect changes in U.S. EPA's approach to implementing the
regulations or to clarify and update text. To determine whether U.S. EPA has revised this document and/or to obtain
copies, contact U.S. EPA's Center for Environmental Publications at 1(800) 490-9198. Additional information
regarding U.S. EPA Hotlines and further assistance pertaining to the specific rules discussed in this document can be
found at the end of the Key Compliance Requirements located in Section II. The contents of this document reflect
regulations issued as of March 13,2000.
Acknowledgments
U.S. EPA would like to gratefully acknowledge the support of the U.S. Army Corps of Engineers Construction
Engineering Research Laboratory (CERL) for providing suggestions for overall format of this document. The Office
of Compliance at U.S. EPA gratefully acknowledges the contribution of U.S. EPA's program offices and the Regions
in reviewing and providing comment on this document.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
Table of Contents
Notice inside cover
Acknowledgment inside cover
Section 1: Introduction
Background ii
Who Should Use These Protocols? ii
U.S. EPA's Public Policies that Support Environmental Auditing iii
How To Use the Protocols iv
The Relationship of Auditing to Environmental Management Systems vi
Section II: Audit Protocol
Applicability 1
Review of Federal Legislation 1
State and Local Regulations 2
Key Compliance Requirements 3
Key Terms and Definitions For Used Oil 3
Key Terms and Definitions for Universal Waste 5
Typical Records to Review 8
Typical Physical Features to Inspect 9
List of Acronyms and Abbreviations 9
Index for Checklist Users 11
Checklist 13
Appendices
Appendix A: Used Oil Classifications Al
Appendix B: User Satisfaction Questionnaire and Comment Form B
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
Section I
Introduction
Background
The Environmental Protection Agency (U.S. EPA) is responsible for ensuring that businesses and organizations
comply with federal laws that protect the public health and the environment. U.S. EPA's Office of Enforcement and
Compliance Assurance (OECA) has begun combining traditional enforcement activities with more innovative
compliance approaches including the provision of compliance assistance to the general public. U.S. EPA's Office of
Compliance Assistance was established in 1994 to focus on compliance assistance-related activities. U.S. EPA is
also encouraging the development of serf-assessment programs at individual facilities. Voluntary audit programs
play an important role in helping companies meet their obligation to comply with environmental requirements. Such
assessments can be a critical link, not only to improved compliance, but also to improvements in other aspects of an
organization's performance. For example, environmental audits may identify pollution prevention opportunities that
can substantially reduce an organization's operating costs. Environmental audits can also serve as an important
diagnostic tool in evaluating a facility's overall environmental management system or EMS.
U.S. EPA is developing 13 multi-media Environmental Audit Protocols to assist and encourage businesses and
organizations to perform environmental audits and disclose violations in accordance with OECA's Audit and Small
Business Policies. The audit protocols are also intended to promote consistency among regulated entities when
conducting environmental audits and to ensure that audits are conducted in a thorough and comprehensive manner.
The protocols provide detailed regulatory checklists that can be customized to meet specific needs under the
following primary environmental management areas:
• Generation of RCRA
Hazardous Waste
Treatment Storage and
Disposal of RCRA
Hazardous Waste
• EPCRA
• CERCLA
• Safe Drinking Water Act
• Managing Nonhazardous
Solid Waste
Clean Air Act
TSCA
Pesticides Management
(FIFRA)
• RCRA Regulated Storage
Tanks
• Clean Water Act
• Universal Waste and Used Oil
• Management of Toxic
Substances (e.g., PCBs,
lead-based paint,
and asbestos)
Who Should Use These Protocols?
U.S. EPA has developed these audit protocols to provide regulated entities with specific guidance in periodically
evaluating their compliance with federal environmental requirements. The specific application of this particular
protocol, in terms of which media or functional area it applies to, is described in Section II under "Applicability".
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
The Audit Protocols are designed for use by individuals who are already familiar with the federal regulations but
require an updated comprehensive regulatory checklist to conduct environmental compliance audits at regulated
facilities. Typically, compliance audits are performed by persons who are not necessarily media or legal experts but
instead possess a working knowledge of the regulations and a familiarity with the operations and practices of the
facility to be audited. These two basic skills are a prerequisite for adequately identifying areas at the facility
subject to environmental regulations and potential regulatory violations that subtract from the organizations
environmental performance. With these basic skills, audits can be successfully conducted by persons with various
educational backgrounds (e.g., engineers, scientists, lawyers, business owners or operators). These protocols are not
intended to be a substitute for the regulations nor are they intended to be instructional to an audience seeking a
primer on the requirements under Title 40, however, they are designed to be sufficiently detailed to support the
auditor's efforts.
The term "Protocol" has evolved over the years as a term of art among the professional practices of auditing and
refers to the actual working document used by auditors to evaluate facility conditions against a given set of criteria
(in this case the federal regulations). Therefore these documents describe "what" to audit a facility for rather than
"how" to conduct an audit. To optimize the effective use of these documents, you should become familiar with basic
environmental auditing practices. For more guidance on how to conduct environmental audits, U.S. EPA refers
interested parties to two well known organizations: The Environmental Auditing Roundtable (EAR) and the Institute
for Environmental Auditing (IEA).
Environmental Health and Safety Auditing Roundtable The Institute for Environmental Auditing
35888 Mildred Avenue Box 23686
North Ridgeville, Ohio 44039 L'Enfant Plaza Station
(216) 327-6605 Washington, DC 20026-3686
U.S. EPA's Public Policies that Support Environmental Auditing
In 1986, in an effort to encourage the use of environmental auditing, U.S. EPA published its "Environmental
Auditing Policy Statement" (see 51 FR 25004). The 1986 audit policy states that "it is U.S. EPA policy to
encourage the use of environmental auditing by regulated industries to help achieve and maintain compliance with
environmental laws and regulation, as well as to help identify and correct unregulated environmental hazards." In
addition, U.S. EPA defined environmental auditing as "a systematic, documented, periodic, and objective review of
facility operations and practices related to meeting environmental requirements." The policy also identified several
objectives for environmental audits:
• verifying compliance with environmental requirements,
• evaluating the effectiveness of in-place environmental management systems, and
• assessing risks from regulated and unregulated materials and practices.
In 1995, U.S. EPA published "Incentives for Serf-Policing: Discovery, Disclosure, Correction and Prevention of
Violations" which both reaffirmed and expanded its 1986 audit policy. The 1995 audit policy offers major
incentives for entities to discover, disclose and correct environmental violations. Under the 1995 policy, U.S. EPA
will not seek gravity-based penalties or recommend criminal charges be brought for violations that are discovered
through an "environmental audit" (as defined in the 1986 audit policy) or a management system reflecting "due
diligence" and that are promptly disclosed and corrected, provided that other important safeguards are met. These
safeguards protect health and the environment by precluding policy relief for violations that cause serious
environmental harm or may have presented an imminent and substantial endangerment.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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In 1996, U.S. EPA issued its "Final Policy on Compliance Incentives for Small Businesses". The policy is intended
to promote environmental compliance among small businesses by providing them with special incentives to
participate in U.S. EPA compliance assistance programs. Similar to the U.S. EPA Audit Policies, the Small Business
Policy also encourages small businesses to conduct environmental audits, and then to promptly disclose and correct
violations.
More information on U.S. EPA's Small Business and Audit/Serf-Disclosure Policies are available by contacting U.S.
EPA's Enforcement and Compliance Docket and Information Center at (202) 564-2614 or visiting the U.S. EPA web
site at: http://es.EPA.gov/oeca/polguid/polguid l.html
How to Use The Protocols
Each protocol provides guidance on key requirements, defines regulatory terms, and gives an overview of the federal
laws affecting a particular environmental management area. They also include a checklist containing detailed
procedures for conducting a review of facility conditions. The audit protocols are designed to support a wide range
of environmental auditing needs; therefore several of the protocols in this set or sections of an individual protocol
may not be applicable to a particular facility. To provide greater flexibility, each audit protocol can be obtained
electronically from the U.S. EPA Website (www.EPA.gov/oeca/ccsmd/profile.html). The U.S. EPA Website offers
the protocols in a word processing format which allows the user to custom-tailor the checklists to more specific
environmental aspects associated with the facility to be audited.
The protocols are not intended to be an exhaustive set of procedures; rather they are meant to inform the auditor,
about the degree and quality of evaluation essential to a thorough environmental audit. U.S. EPA is aware that other
audit approaches may also provide an effective means of identifying and assessing facility environmental status and
in developing corrective actions.
It is important to understand that there can be significant overlap within the realm of the federal regulations. For
example, the Department of Transportation (DOT) has established regulations governing the transportation of
hazardous materials. Similarly, the Occupational Safety and Health Administration (OSHA) under the U.S.
Department of Labor has promulgated regulations governing the protection of workers who are exposed to hazardous
chemicals. There can also be significant overlap between federal and state environmental regulations. In fact, state
programs that implement federally mandated programs may contain more stringent requirements that are not
included in these protocols. There can also be multiple state agencies regulating the areas covered in these
protocols. The auditor also should determine which regulatory agency has authority for implementing an
environmental program so that the proper set of regulations is consulted. Prior to conducting the audit, the auditor
should review federal, state and local environmental requirements and expand the protocol, as required, to include
other applicable requirements not included in these documents.
Review of Federal Legislation and Key Compliance Requirements:
These sections are intended to provide only supplementary information or a "thumbnail sketch" of the regulations
and statutes. These sections are not intended to function as the main tool of the protocol (this is the purpose of the
checklist). Instead, they serve to remind the auditor of the general thrust of the regulation and to scope out facility
requirements covered by that particular regulation. For example, a brief paragraph describing record keeping and
reporting requirements and the associated subpart citations will identify and remind the auditor of a specific area of
focus at the facility. This allows the auditor to plan the audit properly and to identify key areas and documents
requiring review and analysis.
This document is intended solely for guidance. No statutory or regulatory iv
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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State and Local Regulations:
Each U.S. EPA Audit Protocol contains a section alerting the auditor to typical issues addressed in state and local
regulations concerning a given topic area (e.g., RCRA and used oil). From a practical standpoint, U.S. EPA cannot
present individual state and local requirements in the protocols. However, this section does provide general
guidance to the auditor regarding the division of statutory authority between U.S. EPA and the states over a specific
media. This section also describes circumstances where states and local governments may enact more stringent
requirements that go beyond the federal requirements.
U.S. EPA cannot overemphasize how important it is for the auditor to take under consideration the impact of state
and local regulations on facility compliance. U.S. EPA has delegated various levels of authority to a majority of the
states for most of the federal regulatory programs including enforcement. For example, most facilities regulated
under RCRA, and/or CWA have been issued permits written by the states to ensure compliance with federal and
state regulations. In turn, many states may have delegated various levels of authority to local jurisdictions.
Similarly, local governments (e.g., counties, townships) may issue permits for air emissions from the facility.
Therefore, auditors are advised to review local and state regulations in addition to the federal regulations in order to
perform a comprehensive audit.
Key Terms and Definitions:
This section of the protocol identifies terms of art used in the regulations and the checklists that are listed in the
"Definitions" sections of the Code of Federal Regulations (CFR). It is important to note that not all_definitions from
the CFR may be contained in this section, however; those definitions which are commonly repeated in the checklists
or are otherwise critical to an audit process are included. Wherever possible, we have attempted to list these
definitions as they are written in the CFR and not to interpret their meaning outside of the regulations.
The Checklists:
The checklists delineate what should be evaluated during an audit. The left column states either a requirement
mandated by regulation or a good management practice that exceeds the requirements of the federal regulations.
The right column gives instructions to help conduct the evaluation. These instructions are performance objectives
that should be accomplished by the auditor. Some of the performance objectives may be simple documentation
checks that take only a few minutes; others may require a time-intensive physical inspection of a facility. The
checklists contained in these protocols are (and must be) sufficiently detailed to identify any area of the company or
organization that would potentially receive a notice of violation if compliance is not achieved. For this reason, the
checklists often get to a level of detail such that a specific paragraph of the subpart (e.g., 40 CFR262.34(a)(l)(i))
contained in the CFR is identified for verification by the auditor. The checklists contain the following components:
• "Regulatory Requirement or Management Practice Column"
The "Regulatory Requirement or Management Practice Column" states either a requirement mandated by
regulation or a good management practice that exceeds the requirements of the Federal regulations. The
regulatory citation is given in parentheses after the stated requirement. Good management practices are
distinguished from regulatory requirements in the checklist by the acronym (MP) and are printed in italics.
• "Reviewer Checks" Column:
The items under the "Reviewer Checks:" column identify requirements that must be verified to accomplish
the auditor's performance objectives. (The key to successful compliance auditing is to verify and document
site observations and other data.) The checklists follow very closely with the text in the CFR in order to
provide the service they are intended to fulfill (i.e., to be used for compliance auditing). However, they are
not a direct recitation of the CFR. Instead they are organized into more of a functional arrangement (e.g.,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
record keeping and reporting requirements vs. technical controls) to accommodate an auditor's likely
sequence of review during the site visit. Wherever possible, the statements or items under the "Reviewer
Checks" column, will follow the same sequence or order of the citations listed at the end of the statement in
the "Regulatory Requirement" column.
• "NOTE:" Statements
"Note:" statements contained in the checklists serve several purposes. They usually are distinguished from
"Verify" statements to alert the auditor to exceptions or conditions that may affect requirements or to
referenced standards that are not part of Title 40 (e.g., American Society for Testing and Materials (ASTM)
standards). They also may be used to identify options that the regulatory agency may choose in interacting
with the facility (e.g., permit reviews) or options the facility may employ to comply with a given
requirement.
• Checklist Numbering System:
The checklists also have a unique numbering system that allows the protocols to be more easily updated by
topic area (e.g., RCRA Small Quantity Generator). Each topic area in turn is divided into control breaks to
allow the protocol to be divided and assigned to different teams during the audit. This is why blank pages
may appear in the middle of the checklists. Because of these control breaks, there is intentional repetition
of text (particularly "Note" Statements) under the "Reviewer Checks" column to prevent oversight of key
items by the audit team members who may be using only a portion of the checklist for their assigned area.
Environmental regulations are continually changing both at the federal and state level. For this reason, it is
important for environmental auditors to determine if any new regulations have been issued since the publication of
each protocol document and, if so, amend the checklists to reflect the new regulations. Auditors may become aware
of new federal regulations through periodic review of Federal Register notices as well as public information bulletins
from trade associations and other compliance assistance providers. In addition, U.S. EPA offers information on new
regulations, policies and compliance incentives through several Agency Websites. Each protocol provides specific
information regarding U.S. EPA program office websites and hotlines that can be accessed for regulatory and policy
updates.
U.S. EPA will periodically update these audit protocols to ensure their accuracy and quality. Future updates of the
protocols will reflect not only the changes in federal regulations but also public opinion regarding the usefulness of
these documents. Accordingly, the Agency would like to obtain feedback from the public regarding the format, style
and general approach used for the audit protocols. The last appendix in each protocol document contains a user
satisfaction survey and comment form. This form is to be used by U.S. EPA to measure the success of this tool and
future needs for regulatory checklists and auditing materials.
The Relationship of Auditing to Environmental Management Systems
An environmental auditing program is an integral part of any organization's environmental management system
(EMS). Audit findings generated from the use of these protocols can be used as a basis to implement, upgrade, or
benchmark environmental management systems. Regular environmental auditing can be the key element to a high
quality environmental management program and will function best when an organization identifies the "root causes"
of each audit finding. Root causes are the primary factors that lead to noncompliance events. For example a
violation of a facility's wastewater discharge permit may be traced back to breakdowns in management oversight,
information exchange, or inadequate evaluations by untrained facility personnel.
As shown in Figure 1, a typical approach to auditing involves three basic steps: conducting the audit, identifying
problems (audit findings), and fixing identified deficiencies. When the audit process is expanded, to identify and
correct root causes to noncompliance, the organization's corrective action part of its EMS becomes more effective.
In the expanded model, audit findings (exceptions) undergo a root cause analysis to identify underlying causes to
This document is intended solely for guidance. No statutory or regulatory vi
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
noncompliance events. Management actions are then taken to correct the underlying causes behind the audit findings
and improvements are made to the organizations overall EMS before another audit is conducted on the facility.
Expanding the audit process allows the organization to successfully correct problems, sustain compliance, and
prevent discovery of the same findings again during subsequent audits. Furthermore, identifying the root cause of
an audit finding can mean identifying not only the failures that require correction but also successful practices that
promote compliance and prevent violations. In each case a root cause analysis should uncover the failures while
promoting the successes so that an organization can make continual progress toward environmental excellence.
Figure 1 - Expanded Corrective Action Model
Improve
Environmental
Mgmt. System
Effectiveness
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
VII
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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Section II
Audit Protocol
Applicability
This audit protocol applies to facilities that generate, store, transport, treat, or dispose of any type of universal waste
or used oil. For facilities that import, export, and/or participate in the transfrontier shipment of hazardous and
universal waste, U.S. EPA has prepared guidance and audit checklists in a separate protocol titled Protocol for
Conducting Environmental Compliance Audits of Hazardous Waste Generators (Document No. EPA-305-B-98-
005).
Not all checklist items will be applicable to a given facility. Guidance is provided in the checklists to direct the
auditor to the regulations typically applicable to the type of universal waste and/or used oil activities on the site.
There are numerous environmental regulatory requirements administered by federal, state, and local governments.
Each level of government may have a major impact on areas at the facility that are subject to the audit. Auditors are
advised to review federal, state, and local regulations in order to perform a comprehensive audit.
Review of Federal Legislation
Resource Conservation and Recovery Act
The Resource Conservation and Recovery Act (RCRA) of 1976, which amended the Solid Waste Disposal Act,
addresses nonhazardous (Subtitle D) and hazardous (Subtitle C) waste management activities. The Hazardous and
Solid Waste Amendments (HSWA) of 1984 strengthened RCRA's waste management provisions and added Subtitle
I, which governs underground storage tanks (USTs).
Regulations promulgated pursuant to Subtitle C of RCRA (40 CFR 260 through 299) establish a "cradle-to-grave"
system governing hazardous waste from the point of generation to disposal. RCRA hazardous wastes include the
specific materials listed in the regulations (commercial chemical products designated with the code "P" or "U",
hazardous wastes from specific industries/sources designated with the code "K", or hazardous wastes from
non-specific sources, designated with the code "F") or materials that exhibit a hazardous waste characteristic
(ignitability, corrosivity, reactivity, ortoxicity and designated with the code "D").
Regulated entities that generate hazardous waste are subject to waste accumulation, manifesting, and record keeping
standards. Facilities generally must obtain a permit either from U.S. EPA or from a state agency that U.S. EPA has
authorized to implement the permitting program if they store hazardous wastes for more than 90 days before
treatment or disposal. Facilities may operate less- than-90-day tanks or containers of hazardous wastes without a
permit. Subtitle C permits contain general facility standards, such as contingency plans, emergency procedures,
record keeping and reporting requirements, financial assurance mechanisms, and unit-specific standards. RCRA also
contains provisions (40 CFR 264, Subpart S and Section 264.101) for conducting corrective actions that govern the
cleanup of releases of hazardous waste or constituents from solid waste management units at RCRA treatment,
storage, and disposal facilities.
Many businesses and organizations may have numerous operations that result in the generation and management of
different types of solid and hazardous waste. These operations may be subject to specific parts of RCRA, depending
on the type of waste generated, its management (e.g., stored, transported), and its disposal. Most RCRA
requirements are not industry specific but apply to any entity that generates, transports, treats, stores, or disposes of
hazardous waste. The following are some important RCRA regulatory requirements:
Identification of Solid and Hazardous Wastes (40 CFR 261) delineates the procedure every
generator must follow in determining whether the material in question is considered a hazardous waste
or solid waste or is exempted from regulation.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
Standards for Generators of Hazardous Waste (40 CFR 262) establish the responsibilities of
hazardous waste generators. These include obtaining a U.S. EPA identification number, preparing a
manifest, ensuring proper packaging and labeling, meeting standards for waste accumulation units, and
meeting record keeping and reporting requirements. Providing they meet additional requirements
described in 40 CFR 262.34, generators may accumulate hazardous waste for up to 90 days (or 180 or
270 days depending on the amount of waste generated and the distance the waste will be transported).
Land Disposal Restrictions (LDRs) (40 CFR 268) are regulations prohibiting the disposal of
hazardous waste on land without prior treatment. Under the LDR program, materials must meet LDR
treatment standards prior to placement in a RCRA land disposal unit (landfill, land treatment unit,
waste pile, or surface impoundment). Generators of waste subject to the LDR must provide notification
of such to the designated TSD facility to ensure proper treatment prior to disposal.
Used Oil Management Standards (40 CFR 279) impose management requirements affecting the
storage, transportation, burning, processing, and re-refining of the used oil. For parties that merely
generate used oil, regulations establish storage standards. For a party considered a used oil processor,
re-refiner, burner, or marketer (one who generates and sells off-specification used oil directly to a used
oil burner), additional tracking and paperwork requirements must be satisfied.
Tanks and Containers, as well as any unit, used to store, treat, or dispose of hazardous waste, are
regulated under RCRA. Tanks and containers used to store hazardous waste with a high volatile
organic concentration must meet emission standards under RCRA. Regulations (40 CFR 264-265,
Subpart CC) require generators to test the waste to determine the concentration of the waste, to satisfy
tank and container emissions standards, and to inspect and monitor regulated units. These regulations
apply to all facilities that store such waste, including large quantity generators accumulating waste prior
to shipment off-site.
Underground Storage Tanks containing petroleum and hazardous substances are regulated under
Subtitle I of RCRA. Subtitle I regulations (40 CFR 280) contain tank design and release detection
requirements, as well as financial responsibility and corrective action standards for USTs. The UST
program also includes upgrade requirements for existing tanks that must be met by December 22, 1998.
Boilers and Industrial Furnaces (BIFs) that use or burn fuel containing hazardous waste must comply
with design and operating standards. BIF regulations (40 CFR 266, Subpart H) address unit design,
provide performance standards, require emissions monitoring, and restrict the type of waste that may be
burned.
• Solid Waste Management (RCRA Subtitle D) regulations establish standards and guidelines for solid
waste collection and disposal programs, as well as recycling programs. The regulations also establish
criteria for design, operation, maintenance, and closure for municipal solid waste landfills. In addition,
the regulations provide requirements for thermal processing (incineration) and resource recovery
facilities.
State/Local Regulations
Most states have met the U.S. Environmental Protection Agency (U.S. EPA) requirements in 40 CFR 271 and have
been delegated U.S. EPA authority to administer RCRA requirements. RCRA encourages states to develop their
own hazardous waste statutes and to operate regulatory programs. Many states have adopted the U.S. EPA
regulations by reference or have promulgated regulations that are identical to the U.S. EPA regulations; other states
have promulgated regulations stricter than the federal RCRA. These differences between individual state regulations
and the federal program require that auditors check the status of the state's authorization and then determine which
regulations apply. Because the checklists are based exclusively on the requirements of the federal RCRA/U.S. EPA
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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program, it is necessary to determine in what ways the applicable state program differs from the RCRA/U.S. EPA
program.
Key Compliance Requirements
Universal Wastes (40 CFR 273)
These requirements apply to batteries, pesticides, and thermostats as defined in 40 CFR 273.2 through 273.4. They
are alternate standards for the handling of these wastes instead of the requirements found in 40 CFR 260 through
272. Handlers can be classified as either a large quantity handler of universal waste (5000 kg or more in 1 yr) or a
small quantity handler of universal waste (less than 5000 kg in 1 yr). Depending on classification, the handler has to
meet requirements concerning management of the waste, accumulation, marking and labeling, notification, and
transportation. Additionally, there are standards for universal waste transporters (40 CFR 273, Subpart D) and
universal waste destination facilities (40 CFR 273, Subpart E). These regulations are only effective upon adoption
by the state RCRA program, except in those areas without an authorized program.
Used Oil (40 CFR 279)
Although used oil has not been declared a hazardous waste at the federal level, it does need to be stored, handled,
and documented according to specific requirements. The exact nature of the requirements depends on whether the
facility is a used oil generator, a used oil collection center and aggregation point, a used oil transporter, a used oil
burner, a used oil marketer, or a used oil processor/re-refiner.
For further information regarding the RCRA regulations, contact U.S. EPA's RCRA/UST, Superfund and EPCRA
hotline at 800-424-9346 (or 703-412-9810 in the D.C. area) from 9 a.m. to 6 p.m., Monday through Friday.
This U.S. EPA hotline provide up-to-date information on regulations developed under RCRA, CERCLA
(Superfund), and the Oil Pollution Act. The hotline can assist with Section 112(r) of the Clean Air Act (CAA) and
Spill Prevention, Control, and Countermeasure (SPCC) regulations. The hotline also responds to requests for
relevant documents and can direct the caller to additional tools that provide a more detailed discussion of specific
regulatory requirements.
Key Terms and Definitions For Used Oil
Aboveground Tank
A tank used to store or process used oil that is not an underground storage tank as defined in 40 CFR 280.12 (40
CFR 279.1).
Container
Any portable device in which a material is stored, transported, treated, disposed of, or otherwise handled (40 CFR
279.1).
Do-It-Yourself (DIY) Used Oil Collection Center
Any site or facility that accepts, aggregates, and stores used oil collected only from household DIYs (40 CFR 279.1).
Existing Tank
A tank that is used for the storage or processing of used oil and that is in operation, or for which installation has
commenced on or prior to the effective date of the authorized used oil program for the state in which the tank is
located. Installation will be considered to have commenced if the owner or operator has obtained all federal, state,
and local approvals or permits necessary to begin installation of the tank and if either (1) A continuous on-site
installation program has begun, or (2) The owner or operator has entered into contractual obligations (which cannot
be canceled or modified without substantial loss) for installation of the tank to be completed within a reasonable time
40 CFR 279.1).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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Household Do-It-Yourselfer Used Oil
Oil that is derived from households, such as used oil generated by individuals who generate used oil through the
maintenance of their personal vehicles (40 CFR 279.1).
Household "Do-It-Yourselfer" Used Oil Generator
An individual who generates household "do-it-yourselfer" used oil (40 CFR 279.1).
New Tank
A tank that will be used to store or process used oil and for which installation has commenced after the effective date
of the authorized used oil program for the state in which the tank is located (40 CFR 279.1).
Off-Specification Oil
Used oil burned for energy recovery and any fuel produced from used oil by processing, blending, or other treatment,
is subject to Part 279 requirements unless it is shown not to exceed the following allowable limits (40 CFR 279.11):
Arsenic
Cadmium
Chromium
Lead
Flash point
Total halogens
5 ppm maximum
2 ppm maximum
10 ppm maximum
100 ppm maximum
100 °F minimum
4000 ppm maximum
Petroleum Refining Facility
An establishment primarily engaged in producing gasoline, kerosene, distillate fuel oils, residual fuel oils, and
lubricants, through fractionation, straight distillation of crude oil, redistillation of unfinished petroleum derivatives,
cracking or other processes (i.e., facilities classified as SIC 2911) (40 CFR 279.1).
Processing
Chemical or physical operations designed to produce from used oil, or to make used oil more amenable for
production of fuel oils, lubricants, or other used oil-derived product. Processing includes, but is not limited to
blending used oil with virgin petroleum products, blending used oils to meet the fuel specification, filtration, simple
distillation, chemical or physical separation, and re-refining (40 CFR 279.1).
Re-Refining Distillation Bottoms
The heavy fraction produced by vacuum distillation of filtered and dehydrated used oil. The composition of still
bottoms varies with column operation and feedstock (40 CFR 279.1).
Tank
Any stationary device, designed to contain an accumulation of used oil which is constructed primarily of non-earthen
materials, (e.g., wood, concrete, steel, plastic) which provides structural support (40 CFR 279.1).
Used Oil
Any oil that has been refined from crude oil or any synthetic oil that has been used and as a result of such use is
contaminated by physical or chemical impurities (40 CFR 279.1).
Used Oil Aggregation Point
Any site or facility that accepts, aggregates, and/or stores used oil collected only from other used oil generation sites
owned or operated by the owner or operator of the aggregation point, from which used oil is transported to the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
aggregation point in shipments of no more than 55 gal. Used oil aggregation points may also accept used oil from
household DIYs (40 CFR 279.1).
Used Oil Burner
A facility where used oil not meeting the specification requirements in 40 CFR 279.11 is burned for energy recovery
in devices identified in 40 CFR 279.61(a) (40 CFR 279.1).
Used Oil Collection Center
Any site or facility that is registered/licensed/ permitted/recognized by a state/county/municipal government to
manage used oil and accepts/aggregates and stores used oil collected from used oil generators who bring used oil to
the collection centers in shipments of no more than 55 gal. Used oil collection centers may accept used oil from
household DIYs (40 CFR 279.1).
Used Oil Fuel Marketer
Any person who conducts either of the following activities (40 CFR 279.1):
1. directs a shipment of off-specification used oil from their facility to a used oil burner,
2. first claims that used oil that is to be burned for energy recovery meets used oil fuel specifications in 40 CFR
279.11.
Used Oil Generator
Any person, by site, whose act or process produces used oil or whose act first causes used oil to become subject to
regulation (40 CFR 279.1)
Used Oil Processor/Re-Refiner
A facility that processes used oil (40 CFR 279.1).
Used Oil Transfer Facility
Any transportation-related facility, including loading docks, parking areas, storage areas, and other areas where
shipments of used oil are held for more than 24 hours and not longer than 35 days during the normal course of trans-
portation (40 CFR 279.1).
Used Oil Transporter
Any person who transports used oil, any person who collects used oil from more than one generator and transports
the collected oil, and owners and operators of used oil transfer facilities. Used oil transporters may consolidate or
aggregate loads of used oil for purposes of transportation, but, with the following exception, may not process used
oil. Transporters may conduct incidental processing operations that occur in the normal course of used oil
transportation (e.g., settling and water separation), but that are not designed to produce or make more amenable for
production of used oil derived products or used oil fuel (40 CFR 279.1).
Key Terms and Definitions For Universal Waste
Battery
A device consisting of one or more electrically connected electrochemical cells which is designed to receive, store,
and deliver electric energy. An electrochemical cell is a system consisting of an anode, cathode, and an electrolyte,
plus such connections (electrical and mechanical) as may be needed to allow the cell to deliver or receive electrical
energy. The term battery also includes an intact, unbroken battery from which the electrolyte has been removed (40
CFR 260.10 and 273.9).
For purposes of the universal waste rule, this term includes all batteries except the following (40 CFR 273.2(b)):
1. spent lead acid batteries that are managed under 40 CFR 266, Subpart G (reclamation of spent lead acid
batteries that are recyclable)
2. batteries as defined above that are not yet wastes under 40 CFR 261, including those that do not meet the criteria
for waste generation (see definition of Waste Battery below)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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3. batteries as defined above that are not hazardous waste. A battery is a hazardous waste if it exhibits one or more
of the characteristics identified in 40 CFR 261, Subpart C.
See also the definition of Waste Battery below.
Destination Facility
A facility that treats, disposes of, or recycles a particular category of universal waste, except small quantity handlers
of universal waste batteries and thermostats, or a large quantity handlers of universal waste batteries or thermostats.
A facility at which a particular category of universal waste is only accumulated is not a destination facility for the
purposes of managing that category of universal waste (40 CFR 262.10 and 273.9).
Generator
Any person, by site, whose act or processes produces hazardous waste identified in 40 CFR 261 or whose act first
causes a hazardous waste to become subject to regulation (40 CFR 273.6)
Lamp
The bulb or tube portion of an electric lighting device. A lamp is specifically designed to produce radiant energy,
most often in the ultraviolet, visible, and infra-red regions of the electromagnetic spectrum. Examples of common
universal waste electric lamps include, but are not limited to, fluorescent, high intensity discharge, neon, mercury
vapor, high pressure sodium, and metal halide lamps (40 CFR 260.10, 273.9).
The following are exempted from the definition of lamp in relation to universal waste (40 CFR273.5(b)):
1. lamps that are not yet wastes under 40 CFR 261 (see the definition of Waste Lamp)
2. lamps that are not hazardous waste. A lamp is a hazardous waste if it exhibits one or more of the characteristics
identified in 40 CFR 261.
See also the definition of Waste Lamp.
Large Quantity Handler of Universal Waste
A universal waste handler who accumulates 5,000 kilograms or more total of universal waste (batteries, pesticides,
thermostats, or lamps, calculated collectively) at any time. This designation as a large quantity handler of universal
waste is retained through the end of the calendar year in which 5,000 kg or more total of universal waste is
accumulated (40 CFR 273.9).
On-site
Means the same or geographically contiguous property which may be divided by public or private right-of-way,
provided that the entrance and exit between the properties is at a cross-roads intersection, and access is by crossing
as opposed to going along the right of way. Non-contiguous properties owned by the same person but connected by a
right-of-way which he controls and to which the public does not have access, are also considered on-site property (40
CFR 273.6).
Pesticides
Any substance or mixture of substances intended for preventing, destroying, repelling, or mitigating any pest, or
intended for use as a plant regulator, defoliant, or desiccant, other than any article that either (40 CFR 262.10 and
273.9):
1. is a new animal drug under FFDCA Section 201 (w)
2. is an animal drug that has been determined by regulation of the Secretary of Human Health and Human Services
not to be a new animal drug
3. is an animal feed under FFDCA section 201 (x) that bears or contains any substances described by paragraph 1
or 2 of this definition.
Pesticides which are regulated as universal wastes include pesticides that are either (40 CFR 273.3(a)):
1. recalled pesticides that are stocks of a suspended and canceled pesticide that are a part of a voluntary or
mandatory recall under FIFRA Section 19(b), including, but not limited to, those owned by the registrant
responsible for conducting the recall
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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2. recalled pesticides that are stocks of a suspended or canceled pesticide, or a pesticide that is not in compliance
with FIFRA, that are part of a voluntary recall by the registrant
3. stocks of other unused pesticide products that are collected and managed as a part of a waste pesticide collection
program.
Pesticides which are not universal wastes include (40 CFR 273.3(b)):
1. the following pesticides when disposed of on a farmers own farm in a manner consistent with the label, and the
container is triple rinsed:
a) suspended or recalled pesticides that are a part of a voluntary or mandatory recall under FIFRA Section
19(b), including, but not limited to, those owned by the registrant responsible for conducting the recall
b) stocks of suspended or canceled pesticide products that are not in compliance with FIFRA and are part of a
voluntary recall by the registrant
c) stocks of other unused pesticide products
2. pesticides not meeting the definition of a universal waste (these pesticides must be managed under hazardous
waste regulations in 40 CFR 260-272)
3. pesticides that are not wastes under 40 CFR 261, including those who do not meet the criteria for waste
generation or those that are not wastes (see the definition of Waste Pesticide below)
4. pesticides that are not a hazardous waste.
See also the definition of Waste Pesticide below.
Small Quantity Handler of Universal Waste
A universal waste handler who does not accumulate 5,000 kg or more total of universal waste (batteries, pesticides,
thermostats, or lamps, calculated collectively) at any time (40 CFR 273.9).
Thermostat
A temperature control device that contains metallic mercury in an ampule attached to a bimetal sensing element, and
mercury-containing ampules that have been removed from these temperature control devices in compliance with the
requirements of 40 CFR 273.12(c)(2) or 273.33(c)(2) (40 CFR 262.10 and 273.9).
The following are exempted from the definition of thermostat in relation to universal waste (40 CFR 273.4(b)):
1. thermostats that are not yet wastes under 40 CFR 261 (see the definition of Waste Thermostat)
2. thermostats that are not hazardous waste.
See also the definition of Waste Thermostat.
Universal Waste
Any of the following hazardous wastes that are managed under the universal waste requirements of 40 CFR 273 (40
CFR 260.10 and 273.9):
1. Batteries as described in Sec. 273.2 (see definition of Battery)
2. Pesticides as described in Sec. 273.3 (see definition of Pesticides)
3. Thermostats as described in Sec. 273.4 (see definition of Thermostat)
4. Lamps as described in Sec. 273.5 (see definition of Lamp).
Universal Waste Handler
This term means either (40 CFR 273.9):
1. a generator of universal waste
2. the owner or operator of a facility, including all contiguous property, that receives universal waste from other
universal waste handlers, accumulates universal waste, and sends universal waste to another universal waste
handler, to a destination facility, or to a foreign destination.
It does not mean:
1. a person who treats (except under the provisions of 40 CFR 273.13 (a) or (c), or 273.3 3 (a) or (c), disposes of, or
recycles universal waste
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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2. a person engaged in off-site transportation of an universal waste by air, rail, highway, or water, including a
universal waste transfer facility.
Universal Waste Transfer Facility
Any transportation related facility including loading docks, parking areas, storage areas, and other similar areas
where shipments of universal waste are held during the normal course of transportation for 10 days or less (40 CFR
273.9).
Universal Waste Transporter
A person engaged in the off-site transportation of universal waste by air, rail, highway, or water (40 CFR 260.10 and
273.9).
Waste Battery
a used battery becomes a waste on the date that it is discarded (e.g., when sent for reclamation). An unused battery
becomes a waste on the date the handler decides to discard it. See also the definition of Battery (40 CFR 273.2(c)).
Waste Lamp
A used lamp becomes a waste on the date it is discarded. An unused lamp becomes a waste on the date the handler
decides to discard it (40 CFR 273.5(c)).
Waste Pesticides
This term applies as follows (40 CFR 273.3(c)):
1. a recalled pesticide described in 40 CFR 273.3(a)(l) becomes a waste on the first date on which both of the
following conditions apply:
a) the generator of the recalled pesticide agrees to participate in the recall; and
b) the person conducting the recall decides to discard (e.g., burn the pesticides for energy recovery) the
pesticides
2. stocks of unused pesticide products that are collected and managed as part of a waste pesticide collection
program becomes a waste on the day the generator decides to discard it.
The following pesticides are not waste (40 CFR 273.3(d):
1. a recalled pesticide described in 40 CFR 273.3(a)(l), provided the person conducting the recall either:
a) has not made a decision to discard (e.g., burn for energy recovery) the pesticide
b) has made a decision to use a management option that, under 40 CFR 261.2, does not cause the pesticide to
be a solid waste (i.e., the selected option is use (other than use constituting disposal), or reuse (other than
burning for energy recovery), or reclamation)
2. unused pesticide products that are collected and managed as a part of a waste pesticide collection program if the
generator of the unused pesticide product has not decided to discard (e.g., burn for energy recovery) them.
These pesticides remain subject to the regulations under the Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA).
Waste Thermostats
A used thermostat becomes a waste on the date it is discarded (e.g., sent for reclamation). An unused thermostat
becomes a waste on the date the handler decides to discard it (40 CFR 273.4(c)).
Typical Records To Review
• Universal waste transportation/shipping records
• Used oil analysis records
• Used oil transportation related documentation
• Manifests
• Shipment logs, invoices
• Material Safety Data Sheets (MSDSs)
• Inventory records
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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• Chemical hygiene plan (labs); and
• Spill records
Typical Physical Features To Inspect
• Universal waste storage areas
• Used oil storage areas
• Vehicle maintenance facilities
• Battery storage areas
• Building maintenance and repair shops
• Laboratories
List of Acronyms and Abbreviations
AST Aboveground Storage Tank
Btu British Thermal Units
CESQG Conditionally Exempt Small Quantity Generator
CFC Chloroflluorocarbons
CFR Code of Federal Regulations
DIY Do-It-Yourself
DOT Department of Transportation
EPA United States Environmental Protection Agency
FFDCA Federal Food, Drug and Cosmetic Act
FIFRA Federal Insecticide, Fungicide, and Rodenticide Act
gal Gallon
h Hour
kg Kilogram
Mbtu million British thermal units
MP Management Practice
NOV Notice of Violation
NRC National Response Center
OECD Organization for Economic Cooperation and Development
OSHA Occupational Safety and Health Act
PCB Fob/chlorinate Biphenyls
PL Public Law
POC Point of Contact
ppm Part Per Million
RCRA Resource Conservation and Recovery Act
SIC Standard Industrial Classification
SPCC Spill Prevention Control and Countermeasures
SQG Small Quantity Generator
USC U.S. Code
U.S. EPA United States Environmental Protection Agency
UST Underground Storage Tank
yr Year
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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This document is intended solely for guidance. No statutory or regulatory 10
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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Index for Checklist Users
Category
General
Small Quantity Universal Waste Handlers
General
Specific Wastes
Personnel Training
Labeling and Marking
Transportation
Large Quantity Universal Waste Handlers
General
Specific Wastes
Personnel Training
Labeling and Marking
Notifications
Transportation
Universal Waste Transporters
Universal Waste Destination Facilities
Used Oil
Used Oil Generators
Used Oil Collection Centers and Aggregation
Points
Used Oil Transportation/Transfer
Used Oil Burners
Used Oil Marketing
Used Oil Processors and Re-Refiners
Refer To:
Checklist Items:
UU. 1.1 through UU. 1.3
UU. 10.1 through UU. 10.4
UU.20.1 through UU.20.6
UU.30.1
UU.40.1 through UU.40.3
UU.50.1andUU.50.2
UU.70.1 through UU.70.4
UU.80.1 through UU.80.5
UU.90.1
UU. 100.1 through 100.3
UU. 110.1
UU. 120. 1 through UU. 120.3
UU. 150.1 through UU. 150.7
UU. 170. 1 through UU. 170.4
UU.200.1 through UU200.4
UU.210.1 through UU.2 10. 11
UU.230.1 through UU.230.3
UU.240.1 through UU.240.9
UU.250.1 through UU.250. 12
UU.260.1 through UU.260.9
UU.270.1 through UU.270. 16
Page
Numbers:
13
15
17
21
23
25
27
29
33
35
37
39
43
45
47
49
55
57
63
69
73
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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Checklist
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
UU.l
GENERAL
UU.1.1. The current status of
any ongoing or unresolved
consent orders, compliance
agreements, notices of
violation (NOVs), interagency
agreements, or equivalent
state enforcement actions is
required to be examined.
Determine if noncompliance issues have been resolved by reviewing a copy of the
previous report, consent orders, compliance agreements, NOVs, interagency
agreements, or equivalent state enforcement actions.
(NOTE: For those open items, indicate what corrective action is planned and
milestones established to correct problems.)
UU.1.2. Facilities are
required to comply with all
applicable federal regulatory
requirements not contained in
this check list.
Determine if any new regulations have been issued since the finalization of this
document. If so, annotate checklist to include new standards.
Determine if the facility has activities or facilities that are regulated but not
addressed in this checklist.
Verify that the facility is in compliance with all applicable and newly issued
regulations.
UU.1.3. Facilities are
required to comply with state
and local regulations
concerning universal waste
and used oil.
Verify that the facility is complying with state and local requirements if the state
has adopted the universal waste rule.
Determine if the state has adopted the universal waste rule.
Verify that the facility is operating according to permits issued by the state or local
agencies.
(NOTE: Issues typically regulated by state and local agencies includes:
- designation of additional universal wastes
- identification of used oil as a hazardous waste.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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This document is intended solely for guidance. No statutory or regulatory 14
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
SMALL QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.10
General
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
- conditionally exempt small quantity generator wastes that are exempt under
261.5 and are also the same types as the universal waste defined in 40 CFR
273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
- conditionally exempt small quantity generator wastes that are exempt under
261.5 and are also the same types as the universal waste defined in 40 CFR
273.6.)
UU.10.1. Small quantity
handlers of universal waste,
less than 5000 kg at any time,
are generally prohibited from
disposing, diluting, or treating
universal wastes (40 CFR
273.11).
Determine if the facility is a small quantity handler of universal waste.
Verify that the facility does not dispose of universal wastes on-site.
Verify that, except when responding to a release or performing waste management
activities outlined in 40 CFR 273.13 (see checklist item UU.20.1 through
UU.20.5), the facility does not dilute or treat universal waste.
UU.10.2. Small quantity
handlers of universal waste
are required to meet specific
accumulation time limits (40
CFR 273.15).
Verify that universal waste is not accumulated for more than 1 yr from the date
that the universal waste is generated, or received from another handler.
(NOTE: The 1 yr limit may be exceeded if the sole purpose is to accumulate such
quantities as necessary to facilitate proper recovery, treatment, or disposal.
However, the handler must be able to prove that this is the case.)
Verify that the handler can demonstrate the length of time that the universal waste
has been accumulated by one of the following methods:
-placing the universal waste in a container and marking or labeling the
container with the earliest date that any universal waste in the container
became a waste or was received
- marking or labeling each individual item of universal waste with the date it
became waste or was received
- maintaining an inventory system on-site that identifies the date each universal
waste became a waste or was received
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
- maintaining an inventory system on-site that identifies the earliest date that
any universal waste in a group of universal waste items or a group of
containers of universal waste became a waste or was received
- placing the universal waste in a specific accumulation area and identifying
the earliest date that any universal waste in the area became a waste or was
received
- any other method which clearly demonstrates the length of time that the
universal waste has been accumulated from the date that it becomes a waste
or was received.
UU.10.3. Small quantity
handlers of universal waste
are required to handle releases
according to specific
procedures (40 CFR 273.17).
Verify that all releases of universal waste and other universal waste residues are
immediately contained.
Verify that the handler determines if the material resulting from the release is a
hazardous waste.
Verify that if the material is determined to be a hazardous waste, it is managed as a
hazardous waste in compliance with all applicable requirements of 40 CFR 260
through 272.
UU.10.4. Small quantity
handlers of universal waste
managing imported universal
waste are required to meet
specific parameters. (40 CFR
273.70(b)and273.70(d)).
Determine if the small quantity handler of universal waste is receiving universal
waste from a foreign country.
Verify that the universal waste is handled according to all requirements applicable
to small quantity handlers of universal waste (40 CFR 273, Subpart B)
immediately after the waste enters the United States.
(NOTE: If the universal waste was imported from an Organization for Economic
Cooperation and Development (OECD) country as specified in 40 CFR
262.58(a)(l), the requirements of 40 CFR 262, Subpart H apply. The designated
OECD countries are: Australia, Austria, Belgium, Denmark, Finland, France,
Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg, Netherlands, New
Zealand, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, United
Kingdom, and the United States. Canada and Mexico are considered OECD
countries only for the purpose of transit.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
SMALL QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.20
Specific Wastes
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
- conditionally exempt small quantity generator wastes that are exempt under
40 CFR 261.5 and are also the same types as the universal waste defined in
40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
- conditionally exempt small quantity generator wastes that are exempt under
40 CFR 261.5 and are also the same types as the universal waste defined in
40 CFR 273.6.)
UU.20.1. Small quantity
handlers of universal waste
are required to manage
universal waste batteries
according to specific
parameters (40 CFR 273.12,
273.13(a)(l), and
273.13(a)(2)).
(NOTE: A small quantity handler of universal waste is not required to notify the
U.S. EPA of universal waste handling activities.)
(NOTE: Refer to the definition of Battery and Waste Battery.)
Verify that universal waste batteries are managed in a way that prevents releases of
any universal waste or component of a universal waste to the environment.
Verify that batteries which show evidence of leakage, spillage, or damage that
could cause leakage under reasonably foreseeable condition are contained in a
container.
Verify that containers for batteries with leak potential are closed, structurally
sound, compatible with the contents of the battery, and lack evidence of leakage,
spillage, or damage that could cause leakage under reasonably foreseeable
conditions.
Verify that, when conducting any of the following activities, the casing of each
individual battery cell is not breached and remains intact and closed:
- sorting batteries by type
- mixing battery types in one container
- discharging batteries so as to remove the electric charge
- regenerating used batteries
- disassembling batteries or battery packs into individual batteries or cells
- removing batteries from consumer products
- removing electrolyte from batteries.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
(NOTE: Cells may be opened to remove electrolyte but must be immediately
closed after removal.)
UU.20.2. Small quantity
handlers of universal waste
are required to manage the
electrolyte from universal
waste batteries and other solid
wastes generated from battery
management activities
according to specific
parameters (40 CFR
273.13(a)(3)).
Verify that, if the small quantity universal waste handler removes electrolyte from
batteries or generates other solid waste (e.g., battery pack materials, discarded
consumer products) as a result of battery management activities, the handler
determines if any of the wastes exhibit the characteristics of a hazardous waste
identified in 40 CFR 261, Subpart C.
Verify that, if it does exhibit the characteristics of a hazardous waste, it is treated
and handled as a hazardous waste pursuant to 40 CFR 260 through 272.
Verify that, if the electrolyte or other solid waste is not a hazardous waste, it is
managed in accordance with any other applicable state and federal laws and
regulations.
UU.20.3. Small quantity
handlers of universal waste
are required to manage
universal waste pesticides
according to specific
parameters (40 CFR 273.12
and273.13(b)).
(NOTE: A small quantity handler of universal waste is not required to notify the
U.S. EPA of universal waste handling activities.)
(NOTE: Refer to the definition of Pesticides and Waste Pesticides.)
Verify that universal waste pesticides are managed in a way that prevents releases
of any universal waste or component of a universal waste to the environment.
Verify that the pesticides are contained in one or more of the following:
-a container that remains closed, structurally sound, compatible with the
pesticide, and that lacks evidence of leakage, spillage, or damage that could
cause leakage under reasonably foreseeable conditions (this is considered an
appropriate container)
- an inappropriate container that is overpacked in an appropriate container
-a tank that meets the requirements of 40 CFR 265, Subpart J, except for 40
CFR 265.197(c) (tank closure plans), 40 CFR 265.200 (waste analysis and
trial tests), and 40 CFR 265.201 (requirements for SQGs)
- a transport vehicle or vessel that is closed, structurally sound, compatible
with the pesticide, and that lacks evidence of leakage, spillage, or damage
that could cause leakage under reasonably foreseeable conditions.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
18
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
UU.20.4. Small quantity
handlers of universal waste
are required to manage
universal waste thermostats
according to specific
parameters (40 CFR 273.12
and 273.13(c)(l) and
273.13(c)(2)).
(NOTE: A small quantity handler of universal waste is not required to notify the
U.S. EPA of universal waste handling activities.)
(NOTE: Refer to the definition of Thermostat and Waste Thermostats.)
Verify that universal waste thermostats are managed in a way that prevents
releases of any universal waste or component of a universal waste to the
environment.
Verify that the thermostats are contained in a container that remains closed,
structurally sound, compatible with the pesticide, and that lacks evidence of
leakage, spillage, or damage that could cause leakage under reasonably
foreseeable conditions.
Verify that, if the handler removes the mercury containing ampules, the following
are met:
- the ampules are removed in a manner designed to prevent breakage of the
ampule
- ampules are removed only over, or in, a containment device
-ensures that a mercury cleanup system is readily available to immediately
transfer any mercury spills or leaks from the containment device to an
appropriate container per 40 CFR 262.34
-there is immediate transfer of any mercury spills or leaks from broken
ampules to an appropriate container (40 CFR 262.34)
- the area in which ampules are removed is well ventilated and monitored to
ensure compliance with OSHA exposure levels for mercury
-employees removing ampules are thoroughly familiar with proper waste
mercury handling and emergency procedures, including transfer of mercury
from containment devices to appropriate containers
- removed ampules are stored in closed, nonleaking containers that are in good
condition
-removed ampules are packed in the container with packing materials
adequate to prevent breakage during storing, handling, and transportation.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
19
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
UU.20.5. Small quantity
handlers of universal waste
are required to manage the
wastes from universal waste
thermostats according to
specific parameters (40 CFR
273.12and273.13(c)(3)).
Verify that, if the small quantity universal waste handler removes mercury
containing ampules, the handler determines if the mercury or cleanup residues
resulting from spills or leaks exhibit the characteristics of a hazardous waste
identified in 40 CFR 261, Subpart C.
Verify that, if the small quantity universal waste handler removes mercury
containing ampules, the handler determines if the solid waste generated (e.g.,
remaining thermostat units) exhibit the characteristics of a hazardous waste
identified in 40 CFR 261, Subpart C.
Verify that, if it does exhibit the characteristics of a hazardous waste, it is treated
and handled as a hazardous waste pursuant to 40 CFR 260 through 272.
Verify that, if the mercury, residues, or other solid waste is not a hazardous waste,
it is managed in accordance with any other applicable state and federal laws and
regulations.
UU.20.6. Small quantity
handlers of universal waste
are required to manage
universal waste lamps
according to specific
parameters (40 CFR
273.13(d)).
Verify that a small quantity handler of universal waste contains any lamp in
containers or packages that are structurally sound, adequate to prevent breakage,
and compatible with the contents of the lamps.
Verify that containers and packages remain closed and lack evidence of leakage,
spillage or damage that could cause leakage under reasonably foreseeable
conditions.
Verify that a small quantity handler of universal waste immediately cleans up and
places in a container any lamp that is broken and any lamp that shows evidence of
breakage, leakage, or damage that could cause the release of mercury or other
hazardous constituents to the environment.
Verify that containers are closed, structurally sound, compatible with the contents
of the lamps and lack evidence of leakage, spillage or damage that could cause
leakage or releases of mercury or other hazardous constituents to the environment
under reasonably foreseeable conditions.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
20
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
SMALL QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.30
Personnel Training
UU.30.1. All employees who
handle or have responsibility
for managing universal wastes
are required to be trained (40
CFR273.16)
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
Verify that employees have been trained in the proper handling and emergency
response procedures appropriate to the types of universal waste handled at the
facility.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 22
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
SMALL QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.40
Labeling and Marking
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.40.1. Universal waste
batteries are required to be
labeled according to specific
parameters (40 CFR
273.14(a)).
Verify that universal waste batteries (each battery), or a container in which the
batteries are contained, are labeled or marked clearly with any one of the following
phrases:
-UNIVERSAL WASTE - BATTERY(IES)
- WASTE B ATTERY(IES)
-USED BATTERY(IES).
UU.40.2. Universal waste
pesticides are required to be
labeled according to specific
parameters (40 CFR
273.14(b)and273.14(c)).
Verify that containers or multiple container package units, tanks, transport
vehicles, or vessels in which recalled universal waste pesticides are contained are
marked clearly with:
- the label that was on or accompanied the product as sold or distributed
-the words UNIVERSAL WASTE PESTICIDE(S) or WASTE
PESTICIDE(s).
Verify that the container, tanks, or transport vehicles or vessels in which unused
pesticide products are contained are labeled or marked clearly with:
- the label that was on the product when purchased, if still legible
- if this is not feasible, the appropriate DOT label
-if it is not feasible to use the original or DOT label, an alternate label
prescribed or designated by the waste pesticide collection program
administered or recognized by a state
-the words UNIVERSAL WASTE - PESTICIDE(S) or WASTE
PESTICIDE(S).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
23
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
UU.40.3. Universal waste
thermostats are required to be
labeled according to specific
parameters (40 CFR
273.14(d)).
Verify that universal waste thermostats or containers in which the thermostats are
contained are labeled or marked clearly with one of the following phrases:
-UNIVERSAL WASTE - MERCURY THERMOSTAT(S)
- WASTE MERCURY THERMOSTAT(S)
-USED MERCURY THERMOSTAT(S).
Verify that each lamp or a container or package in which lamps are contained is
labeled or marked clearly with one of the following phrases:
-UNIVERSAL WASTE -LAMP(S)
- WASTE LAMP(S)
-USEDLAMP(S).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
24
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
SMALL QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.50
Transportation
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.50.1. Off-site shipments
of universal waste from small
quantity handlers is required
to be done according to
specific parameters (40 CFR
273.18 and 273.19).
Verify that small quantity handlers of universal waste do not send or take universal
waste to anyplace other than another universal waste handler, a destination facility,
or a foreign destination.
(NOTE: If the small quantity handler serf-transports universal waste off-site, they
have to comply with the requirements for transportation in 40 CFR 273.50 through
273.56 (see checklist items UU. 150.1 through UU. 150.6).)
Verify that, if the universal waste being offered for off-site transportation meets
the definition of hazardous materials under 49 CFR 171 through 180, the shipment
is packaged, labeled, marked, and placarded, and that the proper shipping papers
have been prepared under DOT regulations.
Verify that, prior to sending the waste to another universal waste handler, the
originating handler has ensured that the receiving handler agrees to receive the
waste.
Verify that, if the receiving handler rejects a waste shipment, the originating
handler does one of the following:
- receives the waste back when notified the shipment was rejected
-agrees with the receiving handler on a destination facility to which the
shipment will be sent.
Verify that, if the receiving handler rejects a shipment or a portion of the shipment,
the receiving handler notifies the originating handler to discuss reshipment of the
load, and either:
- sends the shipment back to the originating handler, or
- if agreed by both originating and receiving handlers, sends the shipment to a
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
25
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
destination facility.
Verify that, if a small quantity handler of universal waste receives a shipment
containing hazardous waste that is not universal waste, the handler immediately
notifies the regional U.S. EPA office of the illegal shipment and provides the
name, address, and phone number of the originating shipper.
(NOTE: If the handler receives a shipment of nonhazardous nonuniversal waste
the handler may manage the waste in any way that is in compliance with federal,
state, or local regulations.)
(NOTE: A small quantity handler of universal waste is not required to keep
records of shipments of universal waste.)
UU.50.2. Small quantity
handlers of universal waste
that send universal waste to a
foreign destination are
required to meet specific
requirements (40 CFR
273.20).
Verify that, for universal waste being sent to a foreign destination other than an
OECD country, the requirements in 40 CFR 262.53 (notification of intent to
export), 40 CFR 262.56(a)(l) through (a)(4), (6) and (b) (annual reports), and 40
CFR 262.57 (recordkeeping) are met.
Verify that, for universal waste being sent to an OECD country, the requirements
of 40 CFR 262, Subpart H are met.
(NOTE: U.S. EPA has provided audit checklists for 40 CFR 262, Subpart H
requirements in a separate protocol titled Protocol for Conducting Environmental
Compliance Audits of Hazardous Waste Generators (U.S. EPA Document No.
EPA-305-B-98-005) (see Export/Import of Hazardous Waste, pgs. 64-71).)
Verify that the receiving country has consented to accept the waste through an
Acknowledgment of Consent.
Verify that a copy of the U.S. EPA Acknowledgment of Consent for the shipment
has been provided to the transporter.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
26
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LARGE QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.70
General
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.70.1. Large quantity
handlers of universal waste,
more than 5000 kg at any
time, are generally prohibited
from disposing, diluting, or
treating universal wastes (40
CFR 273.31).
Determine if the facility is a large quantity handler of universal waste.
Verify that the facility does not dispose of universal wastes on-site.
Verify that, except when responding to a release or performing waste management
activities outlined in 40 CFR 273.33 (see checklist items UU.80.1 through
UU.80.5), the facility does not dilute or treat universal waste.
UU.70.2. Large quantity
handlers of universal waste
are required to meet specific
accumulation time limits (40
CFR 273.35).
Verify that universal waste is not accumulated for more than 1 yr from the date
that the universal waste is generated, or received from another handler.
(NOTE: The 1 yr limit may be exceeded if the sole purpose is to accumulate such
quantities as are necessary to facilitate proper recovery, treatment, or disposal.
However, the handler must be able to prove that this is so.)
Verify that the handler can demonstrate the length of time that the universal waste
has been accumulated by one of the following methods:
-placing the universal waste in a container and marking or labeling the
container with the earliest date that any universal waste in the container
became a waste or was received
- marking or labeling each individual item of universal waste with the date it
became waste or was received
- maintaining an inventory system on-site that identifies the date each universal
waste became a waste or was received
- maintaining an inventory system on-site that identifies the earliest date that
any universal waste in a group of universal waste items or a group of
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
27
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
containers of universal waste became a waste or was received
- placing the universal waste in a specific accumulation area and identifying
the earliest date that any universal waste in the area became a waste or was
received
- any other method which clearly demonstrates the length of time that the
universal waste has been accumulated from the date that it becomes a waste
or was received.
UU.70.3. Large quantity
handlers of universal waste
are required to handle releases
according to specific
procedures (40 CFR 273.37).
Verify that all releases of universal waste and other universal waste residues are
immediately contained.
Verify that the handler determines if the material resulting from the release is a
hazardous waste.
Verify that if the material is hazardous waste, it is handled appropriately in
accordance with all applicable requirements of 40 CFR 260 through 272.
UU.70.4. Large quantity
handlers of universal waste
managing imported universal
waste are required to meet
specific parameters. (40 CFR
273.70(b)and273.70(d)).
Determine if the large quantity handler of universal waste is receiving universal
waste from a foreign country.
Verify that the imported universal waste is handled according all requirements
applicable to large quantity handlers of universal waste immediately after the
waste enters the United States.
(NOTE: If the universal waste was imported from an OECD country as specified
in 40 CFR 262.58(a)(l), the requirements of 40 CFR 262, Subpart H apply. The
designated OECD countries are: Australia, Austria, Belgium, Denmark, Finland,
France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg,
Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland,
Turkey, United Kingdom, and the United States. Canada and Mexico are
considered OECD countries only for the purpose of transit.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
28
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LARGE QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.80
Specific Wastes
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.80.1. Large quantity
handlers of universal waste
are required to manage
universal waste batteries and
other solid waste generated
from battery management
activities according to specific
parameters (40 CFR
273.33(a)(l) and
273.33(a)(2)).
(NOTE: Refer to the definition of Battery and Waste Battery.)
Verify that universal waste batteries are managed in a way that prevents releases of
any universal waste or component of a universal waste to the environment.
Verify that batteries that show evidence of leakage, spillage, or damage that could
cause leakage under reasonably foreseeable condition are contained in a container.
Verify that containers are closed, structurally sound, compatible with the contents
of the battery, and lack evidence of leakage, spillage, or damage that could cause
leakage.
Verify that, when conducting any of the following activities, the casing of each
individual battery cell is not breached and remains intact and closed:
- sorting batteries by type
- mixing battery types in one container
- discharging batteries so as to remove the electric charge
- regenerating used batteries
- disassembling batteries or battery packs into individual batteries or cells
- removing batteries from consumer products
- removing electrolyte from batteries.
(NOTE: Cells may be opened to remove electrolyte but must be immediately
closed after removal.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
29
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
UU.80.2. Large quantity
handlers of universal waste
are required to manage the
electrolyte from universal
waste batteries according to
specific parameters (40 CFR
273.33(a)(3)).
Verify that, if the large quantity universal waste handler removes electrolyte from
batteries or generates other solid waste (e.g., battery pack materials, discarded
consumer products) as a result of battery management activities, the handler
determines if any of the wastes exhibit the characteristics of a hazardous waste
identified in 40 CFR 261, Subpart C.
Verify that, if it does exhibit the characteristics of a hazardous waste, it is treated
and handled as a hazardous waste pursuant to 40 CFR 260 through 272.
Verify that, if the electrolyte or other solid waste is not a hazardous waste, it is
managed in accordance with any other applicable state and federal laws and
regulations.
UU.80.3. Large quantity
handlers of universal waste
are required to manage
universal waste pesticides
according to specific
parameters (40 CFR
273.33(b)).
(NOTE: Refer to the definition of Pesticide and Waste Pesticides.)
Verify that universal waste pesticides are managed in a way that prevents releases
of any universal waste or component of a universal waste to the environment.
Verify that the pesticides are contained in one or more of the following:
-a container that remains closed, structurally sound, compatible with the
pesticide, and lacks evidence of leakage, spillage, or damage that could cause
leak age under reasonably foreseeable conditions (NOTE: This is considered
an appropriate container)
- an inappropriate container that is overpacked in an appropriate container
-a tank that meets the requirements of 40 CFR 265, Subpart J except for 40
CFR 265.197(c) (tank closure plans), 40 CFR 265.200 (waste analysis and
trial tests), and 40 CFR 265.201 (requirements for SQGs)
- a transport vehicle or vessel that is closed, structurally sound, compatible
with the pesticide, and that lacks evidence of leakage, spillage, or damage
that could cause leakage under reasonably foreseeable conditions.
UU.80.4. Large quantity
handlers of universal waste
are required to manage
universal waste thermostats
according to specific
parameters (40 CFR
273.33(c)(l) and
273.33(c)(2)).
(NOTE: Refer to the definition of Thermostat and Waste Thermostat.)
Verify that universal waste thermostats are managed in a way that prevents
releases of any universal waste or component of a universal waste to the
environment.
Verify that the thermostats are contained in a container that remains closed,
structurally sound, compatible with the pesticide, and that lacks evidence of
leakage, spill age, or damage that could cause leakage under reasonably
foreseeable conditions.
Verify that, if the handler removes the mercury containing ampules, the following
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
30
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
are met:
- the ampules are removed in a manner designed to prevent breakage of the
ampule
- ampules are removed only over, or in, a containment device
-a mercury cleanup system is readily available to immediately transfer any
mercury spills or leaks from the containment device to an appropriate
container (i.e. one that meets the requirements under 40 CFR 262.34)
-there is immediate transfer of any mercury spills or leaks from broken
ampules to an appropriate container
- the area in which ampules are removed is well ventilated and monitored to
ensure compliance with OSHA exposure levels for mercury
-employees removing ampules are thoroughly familiar with proper waste
mercury handling and emergency procedures
- removed ampules are stored in closed, nonleaking containers that are in good
condition
- removed ampule are packed in the container with packing materials adequate
to prevent breakage during storing, handling, and transportation.
UU.80.5. Large quantity
handlers of universal waste
are required to manage the
wastes from universal waste
thermostats according to
specific parameters (40 CFR
273.33(c)(3)).
Verify that, if the large quantity universal waste handler removes mercury
containing ampules, the handler determines if the mercury or cleanup residues
resulting from spills or leaks exhibits a characteristic of hazardous waste,
identified in 40 CFR 261, Subpart C.
Verify that, if the large quantity universal waste handler removes mercury
containing ampules, the handler determines if the solid waste generated (e.g.,
remaining thermostat units) exhibits a characteristic of hazardous waste, identified
in 40 CFR 261, Subpart C.
Verify that, if it does exhibit the characteristics of a hazardous waste is treated and
handled as a hazardous waste pursuant to 40 CFR 260 through 272.
Verify that, if the mercury, residues, or other solid waste is not a hazardous waste,
it is managed in accordance with any other applicable state and federal laws and
regulations.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LARGE QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.90
Personnel Training
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.90.1. All employees who
handle or have responsibility
for managing universal wastes
are required to be trained (40
CFR 273.36).
Verify that all employees have been trained in the proper handling and emergency
response procedures relative to their responsibilities during normal facility
operations and emergencies.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
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requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LARGE QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.100
Labeling and Marking
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.100.1. Universal waste
batteries are required to be
labeled according to specific
parameters (40 CFR
273.34(a)).
Verify that universal waste batteries (each battery), or a container in which the
batteries are contained, are labeled or marked clearly with any one of the following
phrases:
-UNIVERSAL WASTE - BATTERY(IES)
- WASTE B ATTERY(IES)
-USED BATTERY(IES).
UU.100.2. Universal waste
pesticides are required to be
labeled according to specific
parameters (40 CFR
273.34(b) and (c)).
Verify that containers or multiple container package units, tanks, transport
vehicles, or vessels in which recalled universal waste pesticides are contained are
marked clearly with:
- the label that was on or accompanied the product as sold or distributed, and
-the words UNIVERSAL WASTE PESTICIDE(S) or WASTE
PESTICIDE(s).
Verify that the container, tanks, or transport vehicles or vessels in which unused
pesticide products are contained are labeled or marked clearly with:
- the label that was on the product when purchased, if still legible
- if this is not feasible, the appropriate DOT label
- if it is not feasible to use the original or DOT label, then an alternate label
prescribed or designated by the waste pesticide collection program
administered or recognized by a state
-the words UNIVERSAL WASTE - PESTICIDE(S) or WASTE
PESTICIDE(S).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
UU.100.3. Universal waste
thermostats are required to be
labeled according to specific
parameters (40 CFR 273.34
(d)).
REVIEWER CHECKS
Verify that universal waste thermostats or containers in which the thermostats are
contained are labeled or marked clearly with one of the following phrases:
-UNIVERSAL WASTE - MERCURY THERMOSTAT(S)
- WASTE MERCURY THERMOSTAT(S)
-USED MERCURY THERMOSTAT(S).
Verify that each lamp or a container or package in which lamps are contained is
labeled or marked clearly with one of the following phrases:
-UNIVERSAL WASTE -LAMP(S)
- WASTE LAMP(S)
-USEDLAMP(S).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
36
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LARGE QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.110
Notifications
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.110.1. Large quantity
handlers of universal waste
are required to perform
specific notification activities
(40 CFR 273.32).
Verify that the handler has sent written notification of universal waste management
to the U.S. EPA or authorized regulatory agency and received an U.S. EPA
identification number before meeting or exceeding the 5000 kg storage limit.
(NOTE: In the following circumstances, the handler is not required to notify the
U.S. EPA:
-if the handler has already notified the U.S. EPA of hazardous waste
management activity and has received a U.S. EPA identification number
- if recalled pesticides are being managed and notification has already been
sent in under 40 CFR 165.)
Verify that the notification includes:
- the universal waste handlers name and mailing address
-the name and business phone of the point of contact (POC) at the facility
-the address or physical location of the universal waste management activities
- a list of all types of universal waste managed by the handler
- a statement indicating that the handler is accumulating more than 5000 kg of
universal waste at one time and the types of universal waste that are
accumulated above this quantity.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
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This document is intended solely for guidance. No statutory or regulatory 38
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
LARGE QUANTITY
UNIVERSAL WASTE
HANDLERS
UU.120
Transportation
(NOTE: The following waste may, at the option of the generator, be managed
under the requirements of 40 CFR 273 (40 CFR 273.5(a)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
(NOTE: When the following wastes are commingled with universal wastes, the
commingled wastes must be managed under 40 CFR 273 as a universal waste (40
CFR273.5(b)):
- household wastes that are exempt under 40 CFR 261.4(b)(l) and are also the
same type as the universal wastes defined at 40 CFR 273.6
-CESQG wastes that are exempt under 40 CFR 261.5 and are also the same
types as the universal waste defined in 40 CFR 273.6.)
UU.120.1. Off-site shipments
of universal waste from large
quantity handlers is required
to be done according to
specific parameters (40 CFR
273.38).
Verify that large quantity handlers of universal waste do not send or take universal
waste to anyplace other than another universal waste handler, a destination facility,
or a foreign destination.
(NOTE: If the handler self-transports universal waste off-site, they have to
comply with the requirements for transportation in 40 CFR 273.50 through 273.56
(see checklist items UU. 150.1 through UU. 150.6).)
Verify that, if the universal waste being offered for off-site transportation, the
material meets the definition of hazardous materials under 49 CFR 171 through
180, the shipment is packaged, labeled, marked, and placarded, and the proper
shipping papers have been prepared under DOT regulations.
Verify that, prior to sending the waste to another universal waste handler, the
originating handler has ensured that the receiving handler agrees to receive the
waste.
Verify that, if the receiving handler rejects a waste shipment or a portion of the
shipment, the originating handler does one of the following:
- receives the waste back when notified the shipment was rejected
-agrees with the receiving handler on a destination facility to which the
shipment will be sent.
Verify that, if the receiving handler rejects a shipment or a portion of a shipment,
the receiving handler notifies the originating handler to discuss reshipment of the
load, and either:
- sends the shipment back to the originating handler, or
- if agreed by both originating and receiving handlers, sends the shipment to a
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
39
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
destination facility.
Verify that, if a large quantity handler of universal waste receives a shipment
containing hazardous waste that is not universal waste, the handler immediately
notifies the regional U.S. EPA office of the illegal shipment and provides the
name, phone numbers, and address of the originating shipper.
(NOTE: If the handler receives a shipment of nonhazardous, nonuniversal waste,
the handler may manage the waste in any way that is in compliance with federal,
state, or local regulations.)
UU.120.2. Large quantity
handlers are required to track
off-site shipments (40 CFR
273.39).
Verify that a record of each shipment of universal waste received at the facility is
kept in one of the following:
-a log
- invoices
- manifests
-bill of lading
- other shipping document.
Verify that the record for each shipment received includes the following:
- name and address of the originating handler or foreign shipper from whom
the waste was sent
-the quantity of each type of universal waste received
-the date of receipt of the shipment.
Verify that a record of each shipment of universal waste shipped off-site is kept in
one of the following:
-a log
- invoices
- manifests
-bill of lading
- other shipping document.
Verify that the record for each off-site shipment includes the following:
- name and address of the handler, destination facility, or foreign destination to
whom the universal waste was sent
- the quantity of each type of universal waste shipped
- the date the shipment left the facility.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
40
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
Verify that records are retained for at least 3 yr:
- for shipments received at the facility, from the date of receipt of the shipment
- for shipments sent off-site by the handler, from the date the shipment left the
facility.
UU.120.3. Large quantity
handlers of universal waste
that send universal waste to a
foreign destination are
required to meet specific
requirements (40 CFR
273.40).
Verify that, for universal waste being sent to a foreign destination other than an
OECD country, the requirements in 40 CFR 262.53 (notification of intent to
export), 40 CFR 262.56(a)(l) through 262.56(a)(4), (6) and (b) (annual reports),
and 40 CFR 262.57 (recordkeeping) are met.
Verify that, for universal waste being sent to an OECD country, the requirements
of 40 CFR 262, Subpart H are met.
(NOTE: U.S. EPA has provided audit checklists for 40 CFR 262, Subpart H
requirements in a separate protocol titled Protocol for Conducting Environmental
Compliance Audits of Hazardous Waste Generators (U.S. EPA Document No.
EPA-305-B-98-005) (see Export/Import of Hazardous Waste, pgs. 64-71).)
Verify that the receiving country has consented to accept the waste through an
Acknowledgment of Consent.
Verify that a copy of the U.S. EPA Acknowledgment of Consent for the shipment
has been provided to the transporter.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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under the Resource Conservation and Recovery Act
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This document is intended solely for guidance. No statutory or regulatory 42
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
UU.150
UNIVERSAL WASTE
TRANSPORTERS
UU.150.1. Universal waste
transporters are generally
prohibited from disposing,
diluting, or treating universal
wastes (40 CFR 273.51).
Determine if the facility is a transporter of universal waste.
Verify that the universal waste transporter does not dispose of universal waste.
Verify that the universal waste transporter does not dilute or treat universal waste,
except by responding to a release as provided in 40 CFR 273.54 (see checklist
item UU. 150.4).
UU.150.2. Universal waste
transporters are required to
manage the waste they
transport according to specific
parameters (40 CFR 273.52).
Verify that the waste is managed according to applicable DOT regulations
depending on whether it meets the criteria for definition as a hazardous material or
as a hazardous waste.
UU.150.3. Universal waste
transporters may only store
the universal waste at a
transfer facility for 10 days
(40 CFR 273.53).
Verify that universal waste is not stored at a transfer facility for more than 10 days.
(NOTE: If the waste is stored for more than 10 days, the transporter becomes a
universal waste handler and is subject to the requirements of 40 CFR 273, Subpart
B or Subpart C.)
UU.150.4. Universal waste
transporters are required to
handle releases according to
specific procedures (40 CFR
273.54).
Verify that all releases of universal waste and other universal waste residues are
immediately contained.
Verify that the transporter determines if the material resulting from the release is a
hazardous waste.
Verify that if the released material is a hazardous waste, it is managed as
appropriate under 40 CFR 260 through 272, and the transporter must comply with
40 CFR 262.
UU.150.5. Off-site shipments
of universal waste transporters
are required to be done
according to specific
parameters (40 CFR 273.55).
Verify that transporters of universal waste do not send or take universal waste to
any place other than a universal waste handler, a destination facility, or a foreign
destination.
Verify that, if the universal waste being offered for off-site transportation meets
the definition of hazardous materials under 49 CFR 171.8, it is properly described
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
43
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
on a shipping paper in accordance with applicable DOT regulations.
UU.150.6. Transporters of
universal waste that send
universal waste to a foreign
destination are required to
meet specific requirements
(40CFR273.56).
(NOTE: These requirements apply when shipping to other than those OECD
countries specified in 40 CFR 262.58(a)(l). The designated OECD countries are:
Australia, Austria, Belgium, Denmark, Finland, France, Germany, Greece, Iceland,
Ireland, Italy, Japan, Luxembourg, Netherlands, New Zealand, Norway, Portugal,
Spain, Sweden, Switzerland, Turkey, United Kingdom, and the United States.
Canada and Mexico are considered OECD countries only for the purpose of
transit.)
Verify that the transporter has determined that the shipment conforms to the U.S.
EPA Acknowledgment of Consent.
Verify that a copy of the U.S. EPA Acknowledgment of Consent accompanies the
shipment.
Verify that appropriate measures are taken to ensure the universal waste is
delivered to the facility designated by the person initiating the shipment.
UU.150.7. Universal waste
transporters managing
imported universal waste are
required to meet specific
parameters. (40 CFR
273.70(a)and273.70(d)).
Determine if the universal waste transporter is managing universal waste from a
foreign country.
Verify that the universal waste is handled according all requirements applicable to
universal waste transporters immediately after the waste enters the United States.
(NOTE: If the universal waste was imported from an OECD country as specified
in 40 CFR 262.58(a)(l), the requirements of 40 CFR 262, Subpart H apply. The
designated OECD countries are: Australia, Austria, Belgium, Denmark, Finland,
France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg,
Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland,
Turkey, United Kingdom, and the United States. Canada and Mexico are
considered OECD countries only for the purpose of transit.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
44
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS
UU.170
UNIVERSAL WASTE
DESTINATION
FACILITIES
UU.170.1. Destination
facilities are required to meet
specific requirements (40
CFR273.60).
Verify that the owner or operator of a destination facility meets all applicable
requirements of 40 CFR 264, 265, 266, 268, 270, and the notification requirement
under section 3010 of RCRA.
Verify that the owner/operator of a destination facility that recycles a particular
universal waste without storing that universal waste before it is recycled complies
with40CFR261.6(c)(2).
UU.170.2. Universal waste
destination facilities are
required to meet specific
standards in relation to off-site
shipments of universal waste
(40 CFR 273.61).
Verify that the destination facility does not send or take universal waste to a place
other than a universal waste handler, another destination facility, or foreign
destination.
Verify that, if the destination facility rejects a shipment or portion of a shipment
containing universal waste, they contact the shipper to notify him of the rejection
and discuss reshipment of the load.
Verify that, if a shipment is rejected, the destination facility does one of the
following:
- sends the shipment back to the original shipper
-sends the shipment to another destination facility if agreed upon by the
shipper and the holding destination facility.
Verify that, if a destination facility receives a shipment containing hazardous waste
that is not universal waste, the facility immediately notifies the regional U.S. EPA
office of the illegal shipment and provides the name, phone numbers, and address
of the originating shipper.
(NOTE: If the facility receives a shipment of nonhazardous nonuniversal waste,
the facility may manage the waste in any way that is in compliance with federal,
state, or local regulations.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
45
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
UU.170.3. Destination
facilities are required to track
universal waste shipments (40
CFR273.62).
REVIEWER CHECKS
Verify that a record of each shipment of universal waste received at the facility is
kept in one of the following:
-a log
- invoices
- manifests
-bill of lading
- other shipping document.
Verify that the record for each shipment received includes the following:
-name and address of the originating universal waste handler, destination
facility or foreign shipper from whom the waste was sent
-the quantity of each type of universal waste received
-the date of receipt of the shipment.
Verify that records are retained for 3 yr from the date of receipt of a shipment of
universal waste.
UU.170.4. Universal waste
destination facility managing
imported universal waste are
required to meet specific
parameters. (40 CFR
273.70(c)and273.70(d)).
Determine if the universal waste destination facility is managing universal waste
from a foreign country.
Verify that the universal waste is handled according all requirements applicable to
universal waste destination facility immediately after the waste enters the United
States.
(NOTE: If the universal waste was imported from an OECD country as specified
in 40 CFR 262.58(a)(l), the requirements of 40 CFR 262, Subpart H apply. The
designated OECD countries are: Australia, Austria, Belgium, Denmark, Finland,
France, Germany, Greece, Iceland, Ireland, Italy, Japan, Luxembourg,
Netherlands, New Zealand, Norway, Portugal, Spain, Sweden, Switzerland,
Turkey, United Kingdom, and the United States. Canada and Mexico are
considered OECD countries only for the purpose of transit.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
46
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.200
USED OIL
UU.200.1. Depending on the
constituents of the used oil,
(see Appendix A of this
document), facilities are
required to handle used oil as
a hazardous waste or
according to specific used oil
requirements (40 CFR 279.10
and 279.81).
Determine which types of the used oils listed in Appendix A of this document are
generated.
Verify that used oil is handled according to its classification as one of the
following:
- a hazardous waste
- used oil that falls under the requirements of 40 CFR 279
-used oil that is not subject to the requirements of 40 CFR 279 and neither is
the mixture a hazardous waste by either listing or characteristic.
UU.200.2. Used oil cannot be
used for dust suppression
unless allowed by the state (40
CFR 279.12(b) and 279.82).
Verify that used oil is not used for dust suppression..
UU.200.3. Off-specification
used oil fuel may be burned
for energy recovery in specific
situations (40 CFR 279.12(c)).
Determine if used oil fuel is burned for the purpose of energy recovery.
Verify that off-specification used oil fuel is only burned for energy recovery in
one of the following:
- an industrial furnace
- a boiler that is identified as one of the following:
- industrial boilers that are located on the site of a facility engaged in a
manufacturing process where substances are transformed into new
products by mechanical or chemical processes
- utility boilers used to produce electric power steam, heated or cooled
air, or other gases or fluids for sale
-used oil-fired space heaters, provided that the burner meets the
provisions under 40 CFR 279.23
- hazardous waste incinerators (see Subpart O of 40 CFR 264 or 265).
(NOTE: The following are exempt from meeting these requirements:
- the burning of used oil by a generator in an on-site space heater
-the burning of used oil by a processor/re-refiner for purposes of processing.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
47
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
UU.200.4. Used oil cannot be
managed in surface
impoundments or waste piles
unless specific parameters are
met(40CFR279.12(a)).
REVIEWER CHECKS:
Verify that used oil is not managed in surface impoundments or waste piles unless
the units are subject to regulation under 40 CFR parts 264 or 265.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
48
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENTS OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.210
USED OIL
GENERATORS
(NOTE: The requirements for used oil generators do not apply to the following
(40CFR279.20(a)):
- household Do-it-Yourselfer (DIY) used oil generators
-vessels at sea or at port (it is considered generation when it is transported
ashore)
- mixtures of used oil and diesel fuel mixed by the generator of the used oil for
use in the generator's own vehicles (NOTE: Prior to mixing, the used oil fuel
is subject to 40 CFR 279, Subpart C.)
-farmers who generate an average of 25 gal/mo or less of used oil from
vehicles or machinery used on the farm in a calendar year.)
(NOTE: In relation to used oil coming ashore from vessels, the owner or operator
of the vessel and the person removing or accepting used oil from the vessel are
cogenerators of the used oil and are both responsible for managing the waste as
used oil once it is ashore.)
UU.210.1. Used oil generators
that detect a release (other
than an underground storage
tank (UST) release) after the
effective date of the recycled
used oil management program
in effect in the state in which
the release is located, must
meet specific requirements
(40 CFR 279.22(d)).
Verify that, when a release is detected, the following is done by the used oil
generator:
- stop the release
- contain the released used oil
- clean up and manage properly the released used oil and other materials
-repair or replace any leaking used oil storage containers or tanks prior to
returning them to service.
UU.210.2. Generators are
allowed to burn used oil in
used oil-fired space heaters if
specific parameters are met
(40 CFR 279.23).
Determine if any used oil-fired space heaters are used.
Verify that the following parameters are met:
- the heater burns only used oil that the facility generates or used oil received
from household DIY used oil generators
-the heater is designed to have a maximum capacity of not more than 0.5
MBtu/h
- the combustion gases from the heater are vented to the ambient air.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
49
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENTS OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.210.3. Except in specific
circumstances, used oil
generators must ensure that
their used oil is transported
only by transporters who have
a U.S. EPA identification
number (40 CFR 279.24(a)
through 279.24(e)).
Determine who is transporting used oil.
Verify that the generator if not transporting the used oil themselves, the transporter
has an U.S. EPA identification number.
(NOTE: Used oil generators may arrange for used oil to be transported by a
transporter without an U.S. EPA identification number if the used oil is reclaimed
under a contractual agreement and the reclaimed oil is returned to the generator for
use as lubricant, cutting oil, or coolant, and the contract (or tolling agreement)
contains the following:
- the type of used oil and frequency of shipments
-verification that the vehicle used for transportation is owned by the used
oil processor/refiner
-verification that reclaimed oil will be returned to the generator.)
Verify that if the used oil generator is transporting the used oil themselves (without
a U.S. EPA identification number) to approved collection centers the following
parameters are met:
- the used oil is generated at the generators site or is used oil collected from
household do-it-yourselfers
- the transporting vehicles is owned by the generator or an employee of the
generator
- no more than 55 gal is transported at any time
- the used oil collection center is registered, licensed, permitted, or recognized
by a state/county/municipal government to manage use oil.
Verify that if the used oil generator is transporting the used oil themselves (without
a U.S. EPA identification number) to aggregation points owned by the generator,
the following parameters are met:
- the transporting vehicle is owned by the generator or an employee of the
generator
- no more than 55 gal is transported at any time
-the used oil is transported to an aggregation point that is owned and/or
operated by the same generator
UU.210.4. Used oil generators
are not allowed to mix
hazardous waste with used oil
unless specific parameters are
met(40CFR279.21(a)).
Verify that hazardous waste is not mixed with used oil unless:
- the resulting mixture does not exhibit any characteristics of hazardous waste
-the waste is hazardous solely because it exhibits the characteristic of
ignitability and the mixture does not exhibit ignitability characteristic.
(NOTE: If the used oil contains greater than or equal to 1,000 ppm total halogens,
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
50
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENTS OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
it is presumed to be a hazardous waste because it has been mixed with halogenated
hazardous waste listed in subpart D of 40 CFR 261. The presumption may be
rebutted by demonstrating that the used oil does not contain hazardous waste.
The rebuttable presumption does not apply to metalworking oils/fluids containing
chlorinated paraffins, if they are processed, through a tolling arrangement to
reclaim metalworking oils/fluids. The presumption does apply to metalworking
oils/fluids if such oils/fluids are recycled in any other manner, or disposed. The
rebuttable presumption does not apply to used oils contaminated with
chlorofluorocarbons (CFCs) removed from refrigeration units if the CFC are
destined for reclamation. The rebuttable presumption does apply to used oils
contaminated with CFCs that have been mixed with used oil from sources other
than refrigeration units.)
UU.210.5. Containers and
aboveground tanks used to
store used oil at used oil
generators must be in good
condition and not leaking (40
CFR 279.22(b)).
Verify that containers/tanks are not leaking, bulging, rusting, damaged, or dented.
UU.210.6. The label USED
OIL must be clearly marked
on containers and
aboveground tanks used to
store used oil and fill pipes
used to transfer used oil into
underground storage facilities
(40 CFR 279.22(c)).
Verify that containers, aboveground tanks, and fill pipes used to transfer used oil
are clearly marked with the phrase USED OIL.
UU.210.7. Depending on their
operations, used oil generators
are required to also meet the
standards for transporters (40
CFR279.20(b)(l)).
Verify that used oil generators who transport used oil, except under the self-
transport provisions of 40 CFR. 279.24 (see checklist item UU.210.3), also
comply with 40 CFR 279.40 through 40 CFR 279.47 (see checklist items
UU.240.1 through UU.240.9).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
51
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENTS OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.210.8. Depending on their
operations, used oil generators
are required to also meet the
standards for processors and
re-refiners(40 CFR
279.20(b)(2)).
Verify that used oil generators who process or re-refine used oil also comply with
40 CFR 279.50 through 40 CFR 279.59 (see checklist items UU.270.1 through
UU.270.16).
(NOTE: Used oil generators who perform the following activities are not
processors provided that the used oil is generated on-site and is not being sent off-
site to a burner of on- or off-specification used oil fuel:
- filtering, cleaning, or otherwise reconditioning used oil before returning it for
reuse by the generator
-separating used oil from wastewater generated on-site to make the
wastewater acceptable for discharge or reuse pursuant to section 402 or
section 307(b) of the Clean Water Act or other applicable federal or state
regulations governing the management or discharge of wastewaters
-using oil mist collectors to remove small droplets of used oil from in-plant air
to make plant air suitable for continued recirculation
-draining or otherwise removing used oil from materials containing or
otherwise contaminated with used oil in order to remove excessive oil to the
extent possible
- filtering, separating or otherwise reconditioning used oil before burning it in
a space heater (see checklist item UU.210.2 for details of 40 CFR 279.23.)
UU.210.9. Depending on their
operations, used oil generators
are required to also meet the
standards for used oil burners
(40 CFR 279.20(b)(3)).
Verify that used oil generators who burn off-specification used oil for energy
recovery, except under the on-site space heater provisions of 40 CFR 279.23 (see
checklist item UU.210.2), comply with 40 CFR 279.60 through 40 CFR 279.67
(see checklist items UU.250.1 through UU.250.12).
UU.210.10. Depending on
their operations, used oil
generators are required to also
meet the standards for
marketers (40 CFR
279.20(b)(4)).
Verify that generators who direct shipments of off-specification used oil from their
facility to a used oil burner, or first claim that used oil that is to be burned for
energy recovery meets the used oil fuel specifications set forth in 40 CFR 279.11
(see Appendix A of this document), also complies with 40 CFR 279.70 through
279.75 (see checklist items UU.260.1 through UU.270.9).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
52
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENTS OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.210.11. Depending on
their operations, used oil
generators are required to also
meet the standards for used oil
disposers (40 CFR
279.20(b)(5)).
Verify that used oil generators who dispose of used oil, including the use of used
oil as a dust suppressant, must also comply with 40 CFR 279.80 through 279.82
(see checklist items UU.200.1 and UU.200.2.).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
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This document is intended solely for guidance. No statutory or regulatory 54
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.230
USED OIL COLLECTION
CENTERS AND
AGGREGATION POINTS
UU.230.1. Do-it-yourselfer
(DIY) used oil collection
centers are required to meet
the same standards as used oil
generators (40 CFR 279.30).
Verify that DIY used oil collection centers meet the requirements outlined in the
section titled Used Oil Generators.
UU.230.2. Used oil collection
centers are required to be
licensed/permitted and
operated according to specific
standards (40 CFR 279.31).
Determine if there is a used oil collection center located at the facility.
Verify that the collection center meets the requirements for used oil generators out
lined in the section titled Used Oil Generators.
Verify that the collection center is registered/licensed/permitted/ recognized by a
state/county/ municipal government to manage used oil.
UU.230.3. Used oil
aggregation points are
required to be operated
according to the standards for
used oil generators (40 CFR
279.32).
Verify that the used oil aggregation point is operated according to the standards
outlined in 40 CFR 279, Subpart C-Standards for Used Oil Generators (see
checklist items UU. 210.1 through UU. 210.11).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 55
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.240
USED OIL
TRANSPORTATION/
TRANSFER
(NOTE: These requirements concerning transportation and transfer of used oil
under 40 CFR 279, Subpart E do not apply to the following (40 CFR 279.40(a)):
- on-site transportation
-generators who transport shipments of used oil totaling 55 gal or less from
the generator to a used oil collection center
-generators who transport shipments of used oil totaling 55 gal or less from
the generator to a used oil aggregation point owned or operated by the same
generator
-transportation of used oil generated by household DIYs from the initial
generator to a regulated used oil generator, collection center, aggregation
point, processor/re-refiner, or burner.)
UU.240.1. Transporters who
put used oil in a truck that has
previously transported
hazardous waste without
emptying and cleaning the
truck are required to transport
and handle the used oil as a
hazardous waste (40 CFR
279.40(c)).
Verify that used oil contaminated with hazardous waste is transported as a
hazardous waste unless the mixture is otherwise determined not to exhibit any
hazardous characteristics (40 CFR 279.10(b)).
UU.240.2. Used oil
transporters can consolidate or
aggregate loads of used oil in
specific situations (40 CFR
279.41).
Determine if the transporter consolidates or aggregates loads of used oil for
purposes of transportation.
Verify that transporters conduct only incidental processing operations such as
settling and water separation, unless they also comply with the requirements for
processors and re-refiners (see checklist items UU.270.1 through UU.270.16).
(NOTE: Transporters of used oil that is removed from oil bearing electrical
transformers and turbines and filtered by the transporter or at a transfer facility
prior to being returned to its original use are not subject to the processor/re-refiner
requirements.)
UU.240.3. Used oil
transporters are required to
have a U.S. EPA
identification number (40
CFR 279.42).
Verify that the used oil transporter has a U.S. EPA identification number.
(NOTE: A used oil transporter who has not received an U.S. EPA identification
number may obtain one by notifying the U.S. EPA or authorized regulatory agency
of their used oil activity by submitting either a completed U.S. EPA Form 8700-
12, or a letter requesting an U.S. EPA identification number.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
57
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.240.4. Transporters must
meet specific requirements for
deliveries and shipments of
used oil (40 CFR 279.40(b),
279.43(a) through 279.43(b)).
Verify that all used oil is delivered to:
-another used oil transporter provided that the transporter has a U.S. EPA
identification number
-a used oil processing/re-refining facilities with a U.S. EPA identification
number
-an off-specification used oil burner facility with a U.S. EPA identification
number
- an on-specification used oil burner facility.
Verify that DOT labeling, packaging, and placarding requirements under 49 CFR
171 through 180 are met.
Verify that if the used oil meets the definition of hazardous material, the
transporter complies with DOT regulations under 49 CFR 171.8.
Verify that transporters who import used oil from abroad or export used oil outside
of the United States meet all used oil transportation requirements while in the
boundaries of the United States.)
UU.240.5. Transporters are
required to take specific
actions if there is a discharge
of used oil during
transportation (40 CFR
279.43(c)).
Verify that if there is a discharge, the following are done:
- notification of authorities (the National Response Center (NRC))
- containment of the discharge
- submit a written report to the DOT
- cleanup.
(NOTE: A transporter must clean up any used oil discharged that occurs during
transportation or take such action as may be required or approved by federal, state,
or local officials so that the used oil discharge no longer presents a hazard to
human health or the environment.)
UU.240.6. Transporters are
required to determine if the
total halogen content of used
oil being transported or stored
at a transfer facility is above
or below 1000 ppm (40 CFR
279.44).
Verify that the transporter determines the total halogen content of the used oil by
one of the following methods:
- testing the used oil
-applying knowledge of halogen content of the used oil in light of the
materials or processes used.
Verify that records of analyses are kept for 3 yr.
(NOTE: If the used oil contains greater than or equal to 1,000 ppm total halogens,
it is presumed to be a hazardous waste because it has been mixed with halogenated
hazardous waste listed in subpart D of 40 CFR 261. The presumption may be
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
58
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
rebutted by demonstrating that the used oil does not contain hazardous waste.
The rebuttable presumption does not apply to metalworking oils/fluids containing
chlorinated paraffins, if they are processed, through a tolling arrangement to
reclaim metalworking oils/fluids. The presumption does apply to metalworking
oils/fluids if such oils/fluids are recycled in any other manner, or disposed. The
rebuttable presumption does not apply to used oils contaminated with
chlorofluorocarbons (CFCs) removed from refrigeration units if the CFC are
destined for reclamation. The rebuttable presumption does apply to used oils
contaminated with CFCs that have been mixed with used oil from sources other
than refrigeration units.)
UU.240.7. Used oil
transporters are required to
keep records for used oil
shipments and deliveries (40
CFR 279.46).
Verify that the following records are kept for each shipment accepted for
transport:
- name and address of the generator, transporter, or processor/re-refiner who
provided the used oil for transport
-U.S. EPA identification number of the generator, transporter, or processor/re-
refiner who provided the used oil for transport
- the quantity of oil accepted
- the day of acceptance
- signature of receipt.
Verify that the following records are kept for each delivery to another used oil
transporter or to a used oil burner, processor/re-refiner, or disposal facility and for
export/ import activities:
- the name and address of the receiving facility or transporter
-the U.S. EPA identification number of the receiving facility or transporter
-the quantity of used oil delivered
- the date of delivery
- the signature, dated upon receipt of the used oil, of a representative of the
receiving facility or transporter.
Verify that records are maintained for 3 yr.
UU.240.8. Transfer facilities
are required to store used oil
in tanks and containers that
meet specific requirements
(40 CFR 279.45(b) through
279.45(g)).
Verify that used oil transfer facilities do not store used oil in units other than tanks,
containers, or units subject to regulation under 40 CFR 264 or 265.
Verify that containers and aboveground tanks used to stored used oil at transfer
facilities are in good condition (no severe rusting, apparent structural defects or
deterioration); and not leaking.
Verify that containers used to store used oil at transfer facilities have secondary
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
59
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
containment that meets the following minimum requirements:
- dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
- an equivalent secondary containment system
- the system is impervious to used oil and will prevent migration to the soil,
groundwater, or surface water.
Verify that aboveground storage tanks (ASTs) used to store used oil at transfer
facilities have secondary containment that meets the following minimum
requirements:
- dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
- an equivalent secondary containment system
- the system is impervious to used oil and will prevent migration to the soil,
groundwater, or surface water.
Verify that containers and aboveground storage tanks (ASTs) are labeled with the
phrase USED OIL.
Verify that fill pipes used to transfer used oil into underground storage tanks at
transfer facilities are labeled with the phrase USED OIL.
(NOTE: In addition to these regulations under RCRA, used oil facilities may also
be regulated under the 1990 Oil Pollution Act which requires facilities, that could
reasonably be expected to discharge oil in harmful quantities, to prepare and
implement rigorous Spill Prevention, Control, and Countermeasure (SPCC) Plans
required under the Clean Water Act (40 CFR 112.7). The SPCC regulations also
require specific management procedures for loading, unloading, and storing
petroleum products. Regulations covering response to oil discharges and
contingency plans (40 CFR 300), as well as facility response plans to oil
discharges (40 CFR 112.20) were revised and finalized in 1995.)
UU.240.9. Specific steps must
be followed in response to a
release at a transfer facility
(40 CFR 279.45(h)).
(NOTE: This applies when the release is not from a UST and has occurred after
the effective date of the recycled used oil management program in effect in the
state in which the release is located.)
Verify that the following steps are taken by the owner/operator of the transfer
facility:
- the release is stopped
- the release is contained
-the released used oil and other materials are cleaned up and properly
managed
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
60
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
- necessary repairs and replacements are done prior to returning containers or
tanks to service.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
61
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under the Resource Conservation and Recovery Act
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 62
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.250
USED OIL BURNERS
UU.250.1. Off-specification
used oil fuel may be burned
for energy recovery in
industrial furnaces and boilers
(40 CFR 279.60(a),
279.60(c), 279.61(a), and
279.61(b)(2)).
Determine if used oil fuel is burned for the purpose of energy recovery.
Verify that off-specification used oil fuel is only burned for energy recovery in
only the following devices:
- an industrial furnace identified in 40 CFR 260.10
-a boiler that is defined in 40 CFR 260.10 and is identified as one of the
following:
- industrial boilers that are located on the site of a facility engaged in a
manufacturing process where substances are transformed into new
products by mechanical or chemical processes
- utility boilers used to produce electric power steam, heated or cooled
air, or other gases or fluids for sale
-used oil-fired space heaters, provided the burner meets the
requirements in 40 CFR 279.23
- hazardous waste incinerators (see Subpart O of 40 CFR 264 or 265).
(NOTE: Used oil burners may aggregate off-specification used oil with virgin oil
or on-specification used oil for purposes of burning, but may not aggregate for
purposes of producing on-specification used oil.)
(NOTE: The requirements for used oil burners do not apply to the following:
- the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279.23 (see checklist itemUU.210.2)
- the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
- persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix A of this document), if the burner complies with the
requirements for used oil fuel marketers.)
UU.250.2. Used oil burners
are required to have an U.S.
EPA identification number (40
CFR 279.60(a), 279.60(c),
and 279.62).
Verify that the used oil burner has an U.S. EPA identification number.
(NOTE: A used oil burner who has not received an U.S. EPA identification
number may obtain one by notifying the U.S. EPA Regional Administrator or
authorized regulatory agency of their used oil activity by submitting either a
completed U.S. EPA Form 8700-12 or a letter requesting an U.S. EPA
identification number.)
(NOTE: The requirements for used oil burners do not apply to the following:
- the used oil is burned by the generator in an on-site space heater under the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
63
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
provisions of 40 CFR 279.23 (see checklist item UU.210.2)
- the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
- persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix A of this document), if the burner complies with the
requirements for used oil fuel marketers.)
UU.250.3. Used oil burners
are required to determine if
used oil is a hazardous waste
(40 CFR 279.60(a),
279.60(c), and 279.63).
Verify that the used oil is either tested or the used oil burner applies their
knowledge of the halogen content of the used oil in light of the materials or
processes used, or using information from another source.
Verify that copies of analyses are maintained for 3 yr.
(NOTE: If the used oil contains greater than or equal to 1,000 ppm total halogens,
it is presumed to be a hazardous waste because it has been mixed with halogenated
hazardous waste listed in subpart D of 40 CFR 261. The presumption may be
rebutted by demonstrating that the used oil does not contain hazardous waste.
The rebuttable presumption does not apply to metalworking oils/fluids containing
chlorinated paraffins, if they are processed, through a tolling arrangement to
reclaim metalworking oils/fluids. The presumption does apply to metalworking
oils/fluids if such oils/fluids are recycled in any other manner, or
disposed. The rebuttable presumption does not apply to used oils contaminated
with chlorofluorocarbons (CFCs) removed from refrigeration units if the CFC are
destined for reclamation. The rebuttable presumption does apply to used oils
contaminated with CFCs that have been mixed with used oil from sources other
than refrigeration units.)
(NOTE: The requirements for used oil burners do not apply to the following:
- the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279.23 (see checklist item UU.210.2)
- the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
- persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix A of this document), if the burner complies with the
requirements for used oil fuel marketers.)
UU.250.4. Used oil burners
are required to store used oil
in containers that meet
specific requirements (40 CFR
279.60(a), 279.60(c), and
279.64(a) through 279.64(f)).
Verify that containers and aboveground tanks used to stored used oil at are in
good condition (no severe rusting, apparent structural defects or deterioration);
and not leaking.
Verify that containers used to store used oil have secondary containment that
meets the following minimum requirements:
- dikes, berms, or retaining walls
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
64
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
- a floor that covers the entire area within the dikes, berms, or retaining walls
or an equivalent secondary containment system
-the system is impervious to used oil to prevent migration to the soil,
groundwater, or surface water.
Verify that aboveground storage tanks (ASTs) used to store used oil have
secondary containment that meets the following minimum requirements:
- dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
- an equivalent secondary containment system
-the system is impervious to used oil to prevent migration to the soil,
groundwater, or surface water.
Verify that containers and aboveground storage tanks (ASTs) are labeled with the
phrase USED OIL.
Verify that fill pipes used to transfer used oil into underground storage tanks at
transfer facilities are labeled with the phrase USED OIL.
(NOTE: The requirements for used oil burners do not apply to the following:
- the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279.23 (see checklist item UU.210.2)
- the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
- persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix A of this document), if the burner complies with the
requirements for used oil fuel marketers.)
UU.250.5. Specific steps must
be followed in response to a
release at a used oil burner (40
CFR 279.60(a), 279.60(c),
and 279.64(g)).
(NOTE: These requirements apply when the release is not from an underground
storage tank (UST) and has occurred after the effective date of the recycled used
oil management program in effect in the state in which the release is located.)
Verify that the following steps are taken by a burner:
- the release is stopped
- the release is contained
-the released used oil and other materials are cleaned up and properly
managed
- necessary repairs and replacements are done on containers or tanks prior to
returning them to service.
(NOTE: The requirements for used oil burners do not apply to the following:
- the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279.23 (see checklist item UU.210.2)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
65
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
- the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
- persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix A of this document), if the burner complies with the
requirements for used oil fuel marketers.)
UU.250.6. Used oil burners
are required to keep a record
of each used oil shipment
accepted for burning (40 CFR
279.60(a), 279.60(c), and
279.65).
Verify that some form of records are kept that documents the following:
- the name and address of the transporter who delivered the used oil
- the name and address of the generator or processor or re-refiner from whom
the used oil was sent to the burner
-the U.S. EPA identification numbers of the transporter or, if applicable, the
generator, processor/re-refiner
-the quantity of used oil accepted
- the date of acceptance.
Verify that records are maintained for at least 3 yr.
(NOTE: The requirements for used oil burners do not apply to the following:
- the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279.23 (see checklist item UU.210.2)
- the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
- persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix A of this document), if the burner complies with the
requirements for used oil fuel marketers.)
UU.250.7. Before a burner
can accept the first shipment
of off-specification used oil
fuel from a generator,
transporter, or processor/re-
refiner, the burner must
provide a one-time written
notice (40 CFR 279.60(a),
279.60(c), and 279.66).
Verify that the burner issued a notice to the U.S. EPA stating the location and
description of the activity and certifying that the used oil will only be burned in an
industrial furnace or boiler.
Verify that the certification is maintained for 3 yr from the date of the last
shipment received.
(NOTE: The requirements for used oil burners do not apply to the following:
- the used oil is burned by the generator in an on-site space heater under the
provisions of 40 CFR 279.23 (see checklist item UU.210.2)
- the used oil is burned by a processor/re-refiner for purposes of processing
used oil, which is considered burning incidentally to used oil processing
- persons burning used oil that meets the used oil fuel specification of 40 CFR
279.11 (see Appendix A of this document), if the burner complies with the
requirements for used oil fuel marketers.)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
66
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
UU.250.8. Depending on their
operations, used oil burners
are required to also meet the
standards for used oil
generators (40 CFR
279.60(b)(l)).
REVIEWER CHECKS:
Verify that used oil burners who generate used oil also comply with 40 CFR
279.20 through 40 CFR 279.24 (see checklist items UU.210.1 through UU.210.3).
UU.250.9. Depending on their
operations, used oil burners
are required to also meet the
standards for used oil
transporters (40 CFR
279.60(b)(2)).
Verify that used oil burners who transport used oil also comply with 40 CFR
279.40 through 40 CFR 279.47 (see checklist items UU.240.1 through UU.240.9).
UU.250.10. Depending on
their operations, used oil
burners are required to also
meet the standards for
processors and re-refiners (40
CFR 279.60(b)(3) and
279.61(b)).
Verify that used oil burners who process or re-refine used oil also comply with 40
CFR 279.50 through 40 CFR 279.59 (see checklist items UU.270.1 through
UU.270.16).
(NOTE: Used oil burners may aggregate off-specification used oil with virgin oil
or on-specification used oil for purposes of burning, but may not aggregate for
purposes of producing on-specification used oil.)
UU.250.11. Depending on
their operations, used oil
burners are required to also
meet the standards for
marketers(40 CFR
279.60(b)(4)).
Verify that burners who direct shipments of off-specification used oil from their
facility to a used oil burner or first claim that used oil that is to be burned for
energy recovery meets the used oil fuel specifications set forth in 40 CFR 279.11
(see Appendix A of this document) also complies with 40 CFR 279.70 through 40
CFR 279.75 (see checklist items UU.260.1 through UU.270.9).
UU.250.12. Depending on
their operations, used oil
generators are required to also
meet the standards for used oil
disposers (40 CFR
279.60(b)(5)).
Verify that used oil burners who dispose of used oil, including the use of used oil
as a dust suppressant, must also comply with 40 CFR 279.80 through 279.82 (see
checklist items UU.200.1 and UU.200.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
67
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 68
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.260
USED OIL MARKETING
(NOTE: The standards for used oil markets apply to any person who does either
of the following (40 CFR 279.70(a)):
- directs a shipment of off-specification used oil from their facility to a used oil
burner
- first claims that used oil that is to be burned for energy recovery meets the
used oil fuel specifications set forth in 40 CFR 279.11 (See Appendix A of
this document).).
UU.260.1. Used oil fuel
marketers may only initiate a
shipment of off-specification
used oil to a used oil burner
who has an U.S. EPA
identification number and
burns the used oil in an
industrial furnace or boiler
(40 CFR 279.70(a)(l),
279.70(b) and 279.71).
Determine if the facility is a used oil fuel marketer initiates a shipment of off-
specification used oil to a used oil burner.
Verify that it is going to an appropriate used oil burner.
(NOTE: These requirements do not apply to the following:
- persons who direct shipments of on-specification used oil and who are not
the first person to claim the oil is on-specification
-used oil generators and transporters who transport used oil received only
from generators, unless the generator or transporter directs a shipment of off-
specification used oil from their facility to a used oil burner.)
UU.260.2. Generators,
transporters, processor/re-
refiners, or burners must
determine if used oil to be
burned for energy recovery is
off or on-specification (40
CFR 279.70(b) and 279.72).
Verify that a determination as to whether the used oil is off or on-specification is
made by analyses or obtaining copies of other analyses.
Verify that records of analyses are maintained for 3 yr.
(NOTE: These requirements do not apply to the following:
- persons who direct shipments of on-specification used oil and who are not
the first person to claim the oil is on-specification
-used oil generators and transporters who transport used oil received only
from generators, unless the generator or transporter directs a shipment of off-
specification used oil from their facility to a used oil burner.)
UU.260.3. Used oil fuel
marketers are required to have
a U.S. EPA identification
number (40 CFR 279.70(b)
and 279.73).
Verify that the used oil fuel marketer has a U.S. EPA identification number.
(NOTE: A used oil marketer who has not received an U.S. EPA identification
number may obtain one by notifying the U.S. EPA or authorized regulatory agency
of their used oil activity by submitting either a completed U.S. EPA Form 8700-12
or a letter requesting an U.S. EPA identification number.)
(NOTE: These requirements do not apply to the following:
- persons who direct shipments of on-specification used oil and who are not
the first person to claim the oil is on-specification
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
69
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
-used oil generators and transporters who transport used oil received only
from generators, unless the generator or transporter directs a shipment of off-
specification used oil from their facility to a used oil burner.)
UU.260.4. Any used oil
marketer that directs a
shipment of used oil to a
burner is required to keep
specific records (40 CFR
279.70(b) and 279.74).
Verify that records containing the following information are kept of each shipment
of off-specification oil:
- the name and address of the transporter who delivers the used oil to the
burner
- the name and address of the burner who will receive the used oil
-the U.S. EPA identification number of the burner
-the quantity of used oil shipped
- the date of shipment.
Verify that records containing the following information are kept of each shipment
of on-specification oil:
-the name and address of the activity receiving the shipment
-the quantity of used oil fuel delivered
- a cross-reference to the record of used oil analysis
- the date of shipment or delivery.
Verify that records are maintained for 3 yr.
(NOTE: These requirements do not apply to the following:
- persons who direct shipments of on-specification used oil and who are not
the first person to claim the oil is on-specification
-used oil generators and transporters who transport used oil received only
from generators, unless the generator or transporter directs a shipment of off-
specification used oil from their facility to a used oil burner.)
UU.260.5. Before a used oil
generator, transporter,
processor/re-refiner directs
the first shipment of off-
specification used oil to a
burner, they must obtain a
one-time written and signed
notice from the burner (40
CFR 279.70(b) and 279.75).
Verify that notice from the burner has been received that indicates the burner
notified the U.S. EPA of the location and used oil management activities and that
the burner will only burn off-specification oil in approved furnaces and boilers.
Verify that a copy of the notice is kept for 3 yr from the date the last shipment of
off- specification used oil is shipped to the burner.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
70
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.260.6. Depending on their
operations, used oil marketers
are required to also meet the
standards for used oil
generators (40 CFR
279.70(c)(l)).
Verify that used oil marketers who generate used oil also comply with 40 CFR
279.20 through 40 CFR 279.24 (see checklist items UU.210.1 through
UU.210.11).
UU.260.7. Depending on their
operations, used oil marketers
are required to also meet the
standards for used oil
transporters (40 CFR
279.70(c)(2)).
Verify that used oil marketers who transport used oil also comply with 40 CFR
279.40 through 40 CFR 279.47 (see checklist items UU.240.1 through UU.240.9).
UU.260.8. Depending on their
operations, used oil marketers
are required to also meet the
standards for processors and
re-refiners (40 CFR
279.70(c)(3).
Verify that used oil marketers who process or re-refine used oil also comply with
40 CFR 279.50 through 40 CFR 279.59 (see checklist items UU.270.1 through
UU.270.16).
UU.260.9. Depending on their
operations, used oil marketers
are required to also meet the
standards for used oil burners
(40 CFR 279.70(c)(3).
Verify that used oil marketers who burn off-specification used oil for energy
recovery also comply with 40 CFR 279.60 through 40 CFR 279.67 (see checklist
items UU.250.1 through UU.250.12).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
71
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
This Page Intentionally Left Blank
This document is intended solely for guidance. No statutory or regulatory 72
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.270
USED OIL PROCESSORS
AND RE-REFINERS
(NOTE: The standards for used oil marketers apply to any person who does either
of the following (40 CFR 279.70(a)):
- directs a shipment of off-specification used oil from their facility to a used oil
burner
- first claims that used oil that is to be burned for energy recovery meets the
used oil fuel specifications set forth in 40 CFR 279.11 (See Appendix A of
this document).).
UU.270.1. Used oil
processors and re-refiners are
required to have an U.S. EPA
identification number (40
CFR 279.50(a) and 279.51).
Verify that the used oil processor and re-refiner has a U.S. EPA identification
number.
(NOTE: A used oil processors and re-refiners who has not received an U.S. EPA
identification number may obtain one by notifying the U.S. EPA or authorized
regulatory agency of their used oil activity by submitting either a completed U.S.
EPA Form 8700-12 or a letter requesting an U.S. EPA identification number.)
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41 (see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.2. Used oil
processors and re-refiners are
required to meet specific
preparedness and prevention
requirements (40 CFR
279.50(a)and279.52(a)).
Verify that facilities are maintained and operated to minimize the possibility of a
fire, explosion, or any unplanned sudden or non-sudden release of used oil to air,
soil, or surface water which could threaten human health or the environment.
Verify that all facilities are equipped with the following, unless none of the
hazards posed by used oil handled at the facility could require the particular kind
of equipment specified:
- an internal communications or alarm system capable of providing immediate
emergency instruction (voice or signal) to facility personnel
-a device, such as a telephone (immediately available at the scene of
operations) or a hand-held two-way radio, capable of summoning emergency
assistance from local police departments, fire departments, or state or local
emergency response teams
-portable fire extinguishers, fire control equipment (including special
extinguishing equipment, such as that using foam, inert gas, or dry
chemicals), spill control equipment and decontamination equipment
- water at adequate volume and pressure to supply water hose streams, or foam
producing equipment, or automatic sprinklers, or water spray systems.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
73
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
Verify that all facility communications or alarm systems, fire protection
equipment, spill control equipment, and decontamination equipment, where
required, is tested and maintained as necessary to assure its proper operation in
time of emergency.
Verify that, whenever used oil is being poured, mixed, spread, or otherwise
handled, all personnel involved in the operation have immediate access to an
internal alarm or emergency communication device, either directly or through
visual or voice contact with another employee.
(NOTE: If there is ever just one employee on the premises while the facility is
operating, the employee must have immediate access to a device, such as a
telephone (immediately available at the scene of operation) or a hand-held two-
way radio, capable of summoning external emergency assistance.)
Verify that aisle space is maintained to allow the unobstructed movement of
personnel, fire protection equipment, spill control equipment, and decontamination
equipment to any area of facility operation in an emergency, unless aisle space is
not needed for any of these purposes.
Verify that, the following arrangements are made as appropriate for the type of
used oil handled at the facility and the potential need for the services of these
organizations:
-arrangements to familiarize the police, fire departments, and emergency
response teams with the layout of the facility, properties of used oil handled
at the facility and associated hazards, places where facility personnel would
normally be working, entrances to roads inside the facility, and possible
evacuation routes
-where more than one police and fire department might respond to an
emergency, agreements designating primary emergency authority to a
specific police and a specific fire department, and agreements with any others
to provide support to the primary emergency authority
-agreements with state emergency response teams, emergency response
contractors, and equipment suppliers
- arrangements to familiarize local hospitals with the properties of used oil
handled at the facility and the types of injuries or illnesses which could result
from fires, explosions, or releases at the facility.
Verify that if state or local authorities declined to enter into such arrangements, the
refusal is documented in the operating record.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
74
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.3. Used oil
processors and re-refiners are
required to have a
contingency plan (40 CFR
279.50(a) and 279.52(b)(l)
through 279.52(b)(4)).
Verify that the contingency plan is designed to minimize hazards to human health
or the environment from fires, explosions, or any unplanned sudden or non-sudden
release of used oil to air, soil, or surface water.
Verify that the provisions of the plan are carried out immediately whenever there
is a fire, explosion, or release or used oil which could threaten human health or the
environment.
Verify that the contingency plan describes the actions personnel must take to in
response to fires, explosions, or any unplanned sudden or non-sudden release of
used oil to air, soil, or surface water at the facility.
(NOTE: If the owner or operator has already prepared a Spill Prevention, Control,
and Countermeasures (SPCC) Plan in accordance with 40 CFR 112, or 40 CFR
1510 of chapter V, or some other emergency or contingency plan, the owner or
operator need only amend that plan to incorporate used oil management
provisions.)
Verify that the plan:
-describes arrangements agreed to by local police departments, fire
departments, hospitals, contractors, and state and local emergency response
teams to coordinate emergency services
- lists names, addresses, and phone numbers (office and home) of all persons
qualified to act as emergency coordinator
- a list of all emergency equipment at the facility (such as fire extinguishing
systems, spill control equipment, communications and alarm systems
(internal and external), and decontamination equipment), where this
equipment is required
- the location and a physical description of all emergency equipment, and a
brief outline of its capabilities
- includes an evacuation plan for facility personnel where there is a possibility
that evacuation could be necessary, including signal(s) to be used to begin
evacuation, evacuation routes, and alternate evacuation routes (in cases
where the primary routes could be blocked by releases of used oil or fires).
Verify that a copy of the contingency plan and all revisions to the plan are
maintained at the facility; and submitted to all local police departments, fire
departments, hospitals, and state and local emergency response teams that may be
called upon to provide emergency services.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
75
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
Verify that the contingency plan is reviewed, and immediately amended, if
necessary, whenever one of the following occurs:
- applicable regulations are revised
- the plan fails in an emergency
-the facility changes (in its design, construction, operation, maintenance, or
other circumstances) in away that materially increases the potential for fires,
explosions, or releases of used oil, or changes the response necessary in an
emergency
- the list of emergency coordinators changes
- the list of emergency equipment changes.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.4. Used oil
processors and re-refiners are
required to have an
emergency coordinator and
emergency procedures (40
CFR 279.50(a), 279.52(b)(5),
and 279.52(b)(6)).
Verify that there is, at all times, at least one employee either on the facility
premises or on call (i.e., available to respond to an emergency by reaching the
facility within a short period of time) with the responsibility for coordinating all
emergency response measures.
Verify that the emergency coordinator is thoroughly familiar with all aspects of the
facility's contingency plan, all operations and activities at the facility, the location
and characteristic of used oil handled, the location of all records within the facility,
and facility layout.
Verify that the emergency coordinator has the authority to commit the resources
needed to carry out the contingency plan.
Verify that whenever there is an imminent or actual emergency situation, the
emergency coordinator (or the designee when the emergency coordinator is on
call) immediately:
-activates internal facility alarms or communication systems, where
applicable, to notify all facility personnel
- notifies appropriate state or local agencies with designated response roles if
their help is needed.
Verify that whenever there is a release, fire, or explosion, the emergency
coordinator immediately identifies the character, exact source, amount, and a real
extent of any released materials.
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
76
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
(NOTE: This identification may be done by observation or review of facility
records of manifests and, if necessary, by chemical analysis.)
Verify that the emergency coordinator also assesses possible hazards to human
health or the environment that may result from the release, fire, or explosion.
Verify that, if the emergency coordinator determines that the facility has had a
release, fire, or explosion which could threaten human health, or the environment,
outside the facility, findings are reported as follows:
- immediately notify appropriate local authorities if evacuation of local areas
may
-be advisable
- immediately notify either the government official designated as the on-scene
coordinator for the geographical area or the National Response Center (using
their 24-hour toll free number 800/424-8802).
Verify that the report to the on-scene coordinator includes:
- name and telephone number of reporter
- name and address of facility
-time and type of incident (e.g., release, fire)
- name and quantity of material(s) involved, to the extent known
- the extent of injuries, if any
- the possible hazards to human health, or the environment, outside the facility.
Verify that, during an emergency, the emergency coordinator takes all reasonable
measures necessary to ensure that fires, explosions, and releases do not occur,
recur, or spread to other used oil or hazardous waste at the facility.
Verify that, if the facility stops operation in response to a fire, explosion, or
release, the emergency coordinator monitors for leaks, pressure buildup, gas
generation, or ruptures in valves, pipes, or other equipment, wherever this is
appropriate.
Verify that, immediately after an emergency, the emergency coordinator provides
for recycling, storing, or disposing of recovered used oil, contaminated soil or
surface water, or any other material that results from a release, fire, or explosion at
the facility.
Verify that the emergency coordinator ensures that, in the affected areas of the
facility:
- no waste or used oil that may be incompatible with the released material is
recycled, treated, stored, or disposed of until cleanup procedures are
completed
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
77
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
- all emergency equipment listed in the contingency plan is cleaned and fit for
its intended use before operations are resumed.
Verify that the operating record includes the time, date and details of any incident
that requires implementing the contingency plan.
Verify that within 15 days after the incident, a written report which includes the
following on the incident is submitted to the U.S. EPA Regional Administrator or
authorized regulatory agency:
- name, address, and telephone number of the owner or operator
- name, address, and telephone number of the facility
-date, time, and type of incident (e.g., fire, explosion)
- name and quantity of material(s) involved
- the extent of injuries, if any
-an assessment of actual or potential hazards to human health or the
environment, where this is applicable
- estimated quantity and disposition of recovered material that resulted from
the incident.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.5. Used oil
processors and re-refiners are
required determine if used oil
is a hazardous waste (40 CFR
279.50(a), 40 CFR 279.53).
Verify that the used oil is either tested or the used oil processor/re-refiner applies
their knowledge of the halogen content of the used oil in light of the materials or
processes used, or using information from another source.
Verify that copies of analyses are maintained for 3 yr.
(NOTE: If the used oil contains greater than or equal to 1,000 ppm total halogens,
it is presumed to be a hazardous waste because it has been mixed with halogenated
hazardous waste listed in subpart D of 40 CFR 261. The presumption may be
rebutted by demonstrating that the used oil does not contain hazardous waste.
The rebuttable presumption does not apply to metalworking oils/fluids containing
chlorinated paraffins, if they are processed, through a tolling arrangement to
reclaim metalworking oils/fluids. The presumption does apply to metalworking
oils/fluids if such oils/fluids are recycled in any other manner, or disposed. The
rebuttable presumption does not apply to used oils contaminated with
chlorofluorocarbons (CFCs) removed from refrigeration units if the CFC are
destined for reclamation. The rebuttable presumption does apply to used oils
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
78
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
contaminated with CFCs that have been mixed with used oil from sources other
than refrigeration units.)
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.6. Used oil
processors/re-refiners are
required to store used oil in
containers and tanks that meet
specific requirements (40
CFR 279.50(a) and 40 CFR
279.54(a) through 279.54(f)).
Verify that containers and aboveground tanks used to stored used oil at are in good
condition (no severe rusting, apparent structural defects or deterioration); and not
leaking.
Verify that containers used to store used oil have secondary containment that
meets the following minimum requirements:
- dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
- an equivalent secondary containment system
-the system is impervious to used oil to prevent migration to the soil,
groundwater, or surface water.
Verify that aboveground storage tanks (ASTs) used to store used oil have
secondary containment that meets the following minimum requirements:
- dikes, berms, or retaining walls
- a floor that covers the entire area within the dikes, berms, or retaining walls
-the system is impervious to prevent migration to the soil, groundwater, or
surface water.
Verify that containers and aboveground storage tanks (ASTs) are labeled with the
phrase USED OIL.
Verify that fill pipes used to transfer used oil into underground storage tanks at
transfer facilities are labeled with the phrase USED OIL.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
79
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.270.7. Specific steps
must be followed in response
to a release at a used oil
processor/re-refiner (40 CFR
279.50(a) and 40 CFR
279.54(g)).
(NOTE: This applies when the release is not from an underground storage tank
(UST) and has occurred after the effective date of the recycled used oil
management program in effect in the state in which the release is located.)
Verify that the following steps are taken:
- the release is stopped
- the release is contained
-the released used oil and other materials are cleaned up and properly
managed
- necessary repairs and replacements are done on containers or tanks prior to
returning them to service.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.8. Used oil
processors/re-refiners are
required to follow specific
steps for closure (40 CFR
279.50(a) and 40 CFR
279.54(h)).
Verify that when closing a tank system, the owner or operator removes or
decontaminates used oil residues in tanks, contaminated containment system
components, contaminated soils, and structures and equipment contaminated with
used oil, and manages them as hazardous waste, unless the materials are not
hazardous waste.
(NOTE: If the owner or operator demonstrates that not all contaminated soils can
be practicably removed or decontaminated, then the owner or operator must close
the tank system and perform post-closure care in accordance with the closure and
post-closure care requirements that apply to hazardous waste landfills.)
Verify that, at closure, containers holding used oils or residues of used oil are
removed from the site;
Verify that, in relation to containers, the owner or operator removes or
decontaminate used oil residues, contaminated containment system components,
contaminated soils, and structures and equipment contaminated with used oil, and
manages them as hazardous waste, unless the materials are not hazardous waste.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.9. Used oil
processors/re-refiners are
required to develop and
follow a written waste
analysis plan (40 CFR
279.50(a) and 40 CFR
279.55).
Verify that the used oil processor/re-refiner has, and follows, a written waste
analysis plan and a copy of the plan is at the facility.
Verify that the plan specifies the following:
- whether sample analyses or knowledge of the halogen content of the used oil
will be used to make this determination
- if sample analyses are used to make this determination:
- the sampling method used to obtain representative samples to be
- analyzed
- the frequency of sampling to be performed, and whether the analysis
will be performed on-site or off-site
- the methods used to analyze used oil for the parameters specified in 40
CFR 279.53
- the type of information that will be used to determine the halogen content of
the used oil.
Verify that the plan specifies the following if 40 CFR 279.72 is applicable:
-whether sample analyses or other information will be used to make this
determination
- if sample analyses are used to make this determination:
-the sampling method used to obtain representative samples to be
analyzed
-whether used oil will be sampled and analyzed prior to or after any
processing/re-refining
- the frequency of sampling to be performed, and whether the analysis
will be performed on-site or off-site
- the methods used to analyze used oil for the parameters specified in 40
CFR 279.72
- the type of information that will be used to make the on-specification used oil
fuel determination.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
81
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.270.10. Used oil
processors/re-refiners are
required to meet specific
documentation requirements
(40 CFR 279.50(a), 40 CFR
279.56, and 279.57).
Verify that used oil processors/re-refiners keep a record of each used oil shipment
accepted for processing/re-refining and each record includes the following
information:
- the name and address of the transporter who delivered the used oil to the
processor/re-refiner
- the name and address of the generator or processor/re-refining from whom
the used oil was sent for processing/re-refining
- the U. S. EPA identification number of the transporter who delivered the used
oil to the processor/re-refiner
-the U.S. EPA identification number (if applicable) of the generator or
processor/re-refiner from whom the used oil was sent for processing/re-
refining
-the quantity of used oil accepted
- the date of acceptance.
(NOTE: Records may take the form of a log, invoice, manifest, bill of lading or
other shipping documents.)
Verify that used oil processor/re-refiners keep a record containing the following
for each shipment of used oil that is shipped to a used oil burner, processor/ re-
refiner, or disposal facility:
- the name and address of the transporter who delivers the used oil to the
burner, processor/re-refiner or disposal facility
-the name and address of the burner, processor/re-refiner or
- disposal facility who will receive the used oil
-the U.S. EPA identification number of the transporter who delivers the used
oil to the burner, processor/re-refiner or disposal facility
-the U.S. EPA identification number of the burner, processor/re-refiner, or
disposal facility who will receive the used oil
-the quantity of used oil shipped
- the date of shipment.
Verify that acceptance and delivery records are kept for at least 3 yr.
Verify that there is a written operating record at the facility containing the
following information:
-records and results of used oil analyses performed as described in the
analysis plan
- summary reports and details of all incidents that require implementation of
the contingency plan.
Verify that information is maintained in the operating record until closure of the
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
82
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
facility.
Verify that the used oil processor/re-refiner reports to the U.S. EPA Regional
Administrator or authorized regulatory agency, in the form of a letter, on a
biennial basis (by March 1 of each even numbered year), the following
information concerning used oil activities during the previous calendar year:
-the U.S. EPA identification number, name, and address of the processor/re-
refiner
- the calendar year covered by the report
- the quantities of used oil accepted for processing/re-refining and the manner
in which the used oil is processed/re-refined, including the specific processes
employed.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.11. Used oil
processors/re-refiners who
initiate shipments of used oil
off-site must ship the used oil
using a used oil transporter
who has obtained an U.S.
EPA identification number
(40 CFR 279.50(a) and 40
CFR 279.58).
Verify that used oil processors/re-refiners who initiate shipments of used oil off-
site, ship the used oil using a used oil transporter who has obtained an U.S. EPA
identification number.
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.12. Depending on
their operations, used oil
processors/re-refiners are
required to also meet the
standards for used oil
generators (40 CFR 279.50(a)
and40CFR279.50(b)(l)).
Verify that used oil processors/re-refiners who generate used oil also comply with
40 CFR 279.20 through 40 CFR 279.24 (see checklist item UU.210.3).
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
83
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.270.13. Depending on
their operations, used oil
processors/re-refiners are
required to also meet the
standards for used oil
transporters (40 CFR
279.50(a) and
279.50(b)(2)).
40 CFR
Verify that used oil processors/re-refiners who transport used oil also comply with
40 CFR 279.40 through 40 CFR 279.47 (see checklist items UU.240.1 through
UU.240.9).
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.14. Depending on
their operations, used oil
processors/re-refiners are
required to also meet the
standards for used oil
burners(40 CFR 279.50(a)
and 40 CFR 279.50(b)(3)).
Verify that used oil processors/re-refiners who burn off-specification used oil for
energy recovery also comply with 40 CFR 279.60 through 40 CFR 279.67 (see
checklist items UU.250.1 through UU.250.12).
(NOTE: This does not apply to processor/re-refiners burning used oil for energy
recovery under either of the following conditions:
- the used oil is burned in an on-site space heater that meets the requirements
of 40 CFR 279.23 (see checklist item UU.210.2)
-the used oil is burned for purposes of processing used oil, which is
considered burning incidentally to used oil processing;
(NOTE: These requirements do not apply to either of the following:
- transporters that conduct incidental processing operations that occur during
the normal course of transportation as provided in 40 CFR 279.41(see
checklist item UU.240.2)
-burners that conduct incidental processing operations that occur during the
normal course of used oil management prior to burning as provided in 40
CFR 279.61(b) (see checklist item UU.250.10).)
UU.270.15. Depending on
their operations, used oil
processors/re-refiners are
required to also meet the
standards for marketers (40
CFR 279.50(a) and 40 CFR
279.50(b)(4)).
Verify that processors/re-refiners who direct shipments of off-specification used
oil from their facility to a used oil burner or first claim that used oil that is to be
burned for energy recovery meets the used oil fuel specifications set forth in 40
CFR 279.11 (see Appendix A of this document) also complies with 40 CFR
279.70 through 40 CFR 279.75 (see checklist items UU.260.1 through UU.270.9).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
84
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
COMPLIANCE CATEGORY:
UNIVERSAL WASTE/USED OIL MANAGEMENT
REGULATORY
REQUIREMENT OR
MANAGEMENT
PRACTICE
REVIEWER CHECKS:
UU.270.16. Depending on
their operations, used oil
processors/re-refiners are
required to also meet the
standards for used oil
disposers (40 CFR 279.50(a)
and 40 CFR 279.50(b)(5)).
Verify that used oil processors/re-refiners who dispose of used oil, including the
use of used oil as a dust suppressant, must also comply with 40 CFR 279.80
through 279.82 (see checklist items UU.200.1 and UU.200.2).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
85
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
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This document is intended solely for guidance. No statutory or regulatory 86
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Compliance Audits of Used
Oil and Universal Waste Generators under the Resource
Conservation and Recovery Act
Appendix A:
Used Oil Classifications
(40 CFR 279.10 and 279.11)
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
Used Oil Classifications
(40 CFR 279.10 and 279.11)
Used Oils Which Are Required to be Handled According to the Requirements in 40 CFR 279 (40
CFR 279.10(b)(2)(ii), 279.10(b)(2)(iii), 279.10(b)(3), 279.10(c)(2), 279.10(d), 279.10(e)(2), and
279.10(i))
1. Used oil containing more than 1000 ppm of total halogens but the generator has demonstrated that the
used oil does not contain hazardous waste.
2. Used metalworking oils/fluids containing chlorinated paraffins when they are recycled or disposed of
and the generator has demonstrated that the used oil does not contain hazardous waste.
3. Used oils contaminated with CFCs that have been mixed with used oil from sources other than refrigeration units
(or from refrigeration units but the unit is destined for reclamation) and the generator has demonstrated that the
used oil does not contain hazardous waste.
4. Materials produced from used oil that are burned for energy recovery.
5. Mixtures of used oil and a characteristic hazardous waste if the resultant mixture does not exhibit any
characteristics of hazardous waste.
6. Mixtures of used oil and a waste that is hazardous solely because it exhibits the characteristic of ignitability and is
not a listed waste, provided that the mixture does not exhibit the ignitability characteristic.
7. Mixtures of used oil and conditionally exempt small quantity generator (CESQG) hazardous waste.
8. Mixtures of used oil and fuels or other fuel products, except those mixed on-site by the generator for
use in the generators own vehicles if the used oil and the diesel fuel have been mixed.
9. Used oil burned for energy recovery and any fuel produced from used oil that exceeds the following
allowable limits:
Arsenic
Cadmium
Chromium
Lead
Flash Point
Total halogens
5 ppm maximum
2 ppm maximum
10 ppm maximum
100 ppm maximum
100 °F minimum
4000 ppm maximum
10. Materials containing or otherwise contaminated with used oil that are burned for energy recovery.
11. Used oil drained or removed from materials containing or otherwise contaminated with used oil.
12. Used oil at marketers or burners with any quantifiable level of PCBs (the standards in 40 CFR 761.20(a) must
also be met for this type of oil).
This document is intended solely for guidance. No statutory or regulatory
requirements are in any way altered by any statement(s) contained herein.
Al
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Protocol for Conducting Environmental Compliance Audits of Used Oil and Universal Waste Generators
under the Resource Conservation and Recovery Act
Used Oil that is Required to be Handled as a Hazardous Waste (40 CFR 279.10(b)).
1. Mixtures of used oil and listed hazardous waste.
2. Used oil containing more than 1000 ppm total halogens
3. Used metalworking oils/fluids containing chlorinated paraffins if processed through a tolling agreement.
4. Used oil contaminated with CFCs removed from refrigeration units where the CFCs are destined for reclamation.
5. Mixtures of used oil and hazardous waste if the resultant mixture exhibits characteristics of a hazardous waste.
Used Oil that is not Subject to the Requirements of 40 CFR 279, Nor is it to be Handled as a
Hazardous Waste Unless Testing Indicates Hazardous Constituents (40 CFR 279.10(c)(l),
279.10(d)(2), 279.10(e)(l), 279.10(e)(3), 279.10(e)(4), and 279.10(f) through 279.10(h)).
1. Mixtures of used oil and diesel fuel mixed on-site by the generator of the used oil for use in the generator's own
vehicles.
2. Materials that are reclaimed from used oil that are used beneficially and are not burned for energy recovery or
used in a manner constituting disposal.
3. Materials derived from used oil that are disposed of or used in a manner constituting disposal.
4. Used oil re-refining distillation bottoms that are used as feedstock to manufacture asphalt products.
5. Wastewater discharges with de minimis quantities of used oil.
6. Used oil within a crude oil or natural gas pipeline.
7. Used oil on vessels.
8. Materials containing or otherwise contaminated with used oil from which the used oil has been properly
drained or removed so that no signs of visible free-flowing remains.
This document is intended solely for guidance. No statutory or regulatory A2
requirements are in any way altered by any statement(s) contained herein.
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Protocol for Conducting Environmental Audits of Used Oil and
Universal Waste Generators under the Resource Conservation and
Recovery Act
Appendix B:
User Satisfaction Questionnaire and Comment Form
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User Satisfaction Survey
(OMB Approval No. 1860.01)
Expires 9/30/2001
We would like to know if this Audit Protocol provides you with useful information. This information
will be used by EPA to measure the success of this tool in providing compliance assistance and to
determine future applications and needs for regulatory checklists and auditing materials.
1. Please indicate which Protocol(s) this survey applies to:
Title:
EPA Document Number:
2. Overall, did you find the Protocol helpful for conducting audits:
Yes No
If not, what areas of the document are difficult to understand?
3. How would you rate the usefulness of the Protocol(s) for conducting compliance audits on a
scale of 1-5?
1 = not useful or effective, 3 = somewhat useful/effective, 5 = very useful/effective
Low Medium High
12345 Introduction Section
12345 Key Compliance Requirements
12345 Key Terms and Definitions
12345 Checklist
4. What actions do you intend to take as a result of using the protocol and/or conducting the audit?
Please check all that apply.
Contact a regulatory agency
Contact a compliance assisstance provider (e.g., trade association, state agency, EPA)
Contact a vendor
Disclose violations discovered during the audit under EPA's audit Policy
Disclose violations discovered under EPA's Small Business Policy
Obtain a permit or certification
Change the handling of a waste, emission or pollutant
Change a process or practice
Purchase new process equipment
Install emission control equipment (e.g., scrubbers, wastewater treatment)
Install waste treatment system (control technique)
Implement or improve pollution prevention practices (e.g., source reduction, recycling)
Improve organizational auditing program
Institute an Environmental Management System
Improve the existing Environmental Management System (e.g., improve training, clarify standard
operating procedures, etc.)
Other
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5. What, if any, environmental improvements will result from the actions to be taken (check all that
apply)?
reduced emissions
waste reduction
reduced risk to human health and the environment due to better management practices
reduced quantity and toxicity of raw materials
water conservation
energy conservation
conserved raw materials
conservation of habitat or other environmental stewardship practice:
other:
no environmental improvements are likely to result from the use of this document
6. How did you hear about this document?
trade association
state technical assistance provider
EPA internet homepage or website
document catalog
co-worker or business associate
EPA, state, or local regulator
other (please specify)
7. In order to understand your response, we would like to know what function you perform with respect
to environmental compliance and the size of your organization.
Company Personnel Trade Association Compliance Assistance
Environmental Auditor National Provider
Corporate Level Regional EPA
Plant-level Local State
Legal Manager State Small Business
Environmental Manager Information Specialist Assistance
Operator - (e.g., Local
Pollution Control Other
Equipment
Other:
Regulatory Personnel Vendor/Consultant
State Environmental Auditor
Local Environmental
EPA Engineer/Scientist
Attorney
How many employees are located at your facility (including full-time contractors?)
0-9 10-49 50-100 101-500 More than 500
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Optional (Please Print)
Name: Address:
Title: City: State:
Zip code:
Organization Name:
Phone: ( ) E-mail:
Please return all pages (1 thru 3) of this survey by folding pages 1 and 2 into page 3 and using the preprinted, pre-
stamped address on the reverse side of page 3. If you have accessed this document electronically from one of EPA's
web sites, simply e-mail this questionnaire to: satterfield.richard(@,epa.gov.
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