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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                D UNIVERSAL WASTE - PESTICIDEfS,

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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
under the Resource Conservation and Recovery Act	

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
under the Resource Conservation and Recovery Act	
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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
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            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
under the Resource Conservation and Recovery Act	

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
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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.
11

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This document is intended solely for guidance. No statutory or regulatory                              12
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	
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.
                                                                    13

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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
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.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.
                                                                   15

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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.
                                                                   16

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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.
                                                                   17

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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:   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.
                                                                21

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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.
                                                                   31

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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                              32
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.
                                                                33

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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                              34
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.
                                                                 37

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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                              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.
                                                                 41

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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                              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.
                                                               53

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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                              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.
                                                                  55

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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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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                              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.
                                                                    80

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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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