United States
Environmental
Protection Agency
Solid Waste and
Emergency Response
(5305W)
EPA530-R-99-069
PB2000-101 909
February 2000
RCRA, Superfund & EPCRA
Hotline Training Module
Introduction to:
Universal Waste
(40 CFR Part 273)
Updated October 1999
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DISCLAIMER
This document was developed by Booz-Allen& Hamilton Inc. under contract 68-W 0-0039 to EPA. It is intended to
be used as a trainingtoolforHotlinespecialists and does not represent a statement of EPA policy.
The information in this document is not by any means a complete representation of EPA's regulations or policies.
This document is used only in the capacity of the Hotline training and is not used as a reference tool on Hotline calls.
The Hotline revises and updates this document as regulatory pro gram areas change.
The information in this docume nt may not necessarily reflect the current position of the Agency. This document is
not intended and cannot be relied upon to create any rights, substantive or procedural, enforceable by any party in
litigation with the United States.
RCRA, Superfund & EPCRA Hotline Phone Numbers
National toll-free (outs ide of DC area) (800) 424-9346
Local number (within DC area) (703) 412-9810
National toll-free for the hearing impaired (TDD) (800) 553-7672
The Hotline is open from 9 am to 6 pm Eastern Time,
Monday through Friday, except for federal holidays.
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UNIVERSAL WASTE
CONTENTS
1. Introduction 1
2. Regulatory Summary 2
2.1 Wastes Subject to the Universal Waste Program 2
2.2 Universal Waste Handlers 4
2.3 Transporters 7
2.4 Destination Facilities 7
2.5 State Authorization 7
3. Special Issues 9
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Universal Waste -1
1. INTRODUCTION
As mandated by Subtitle C of the Resource Conservation and Recovery Act (RCRA),
EPA promulgated regulations governing the safe management of hazardous waste from
the point of generation until the point of final deposition. Within these regulations,
EPA developed a streamlined management program for certain hazardous wastes,
known as universal wastes. The universal waste program provides an alternative set of
regulations which reduce the regulatory burden by allowing longer storage of these
wastes and reduced recordkeeping. Universal wastes are:
• Generated in a wide variety of settings, not solely industrial
• Generated by a vast community
• Present in significant volumes in nonhazardous management systems.
This module describes the universal waste program, found in 40 CFR Part 273, and
defines which hazardous wastes may be handled under these streamlined regulations.
When you have completed this module, you will be able to:
• Recognize the wastestreams subject to the universal waste program
• Identify the participants in the universal waste program
• Understand the regulations for each type of participant
• Understand the state authorization procedures
• Understand the relationship of the Mercury-Containing and Rechargeable
Battery Management Act (P.L. 104-142) to EPA's universal waste program.
Use this list of objectives to check your knowledge of universal waste after you
complete the training session.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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2 - Universal Waste
2. REGULATORY SUMMARY
The regulatory burden associated with recycling certain widely generated hazardous
wastes discouraged smaller facilities from recycling these materials. Because they were
often produced by households and conditionally exempt small quantity generators
(CESQGs), these hazardous wastes were commonly disposed in municipal solid waste
landfills. As a result, EPA promulgated the universal waste regulations on May 11,
1995 (60 FR 25492) to ease the management burden and promote the collection and
recycling of these commonly generated wastes. EPA developed the streamlined
universal waste regulations in Part 273 with three goals:
• To encourage resource conservation while ensuring adequate protection of
human health and the environment
• To improve implementation of the current Subtitle C hazardous waste regulatory
program
• To provide incentives for individuals and organizations to collect the
unregulated portions of these universal wastestreams and manage them using
the same systems developed for the regulated portion, thus removing them from
the municipal wastestream.
To accomplish these goals, EPA established standards in 1995 for three types of
universal wastes: batteries, pesticides, and thermostats. On July 6,1999, EPA added
hazardous waste lamps to the universal waste regulations (64 FR 36466). The
regulations also include management standards for four types of persons managing
universal waste: small quantity handlers of universal waste (SQHUW), large quantity
handlers of universal waste (LQHUW), universal waste transporters, and universal
waste destination facilities.
The universal waste program is less stringent than the full Subtitle C hazardous waste
regulations. Because authorized states may enforce regulations that are more stringent
than the federal RCRA program, the universal waste program is not automatically
effective in states with their own RCRA programs. However, once a state is authorized
for universal waste, EPA allows states to include additional universal wastes under
their state program. The following sections of this module will describe the regulations
for each category of universal waste and each type of person managing universal waste,
the state authorization process, and other special issues.
2.1 WASTES SUBJECT TO THE UNIVERSAL WASTE PROGRAM
The federal universal waste regulations cover hazardous waste batteries, thermostats,
pesticides, and lamps. To be covered under the universal waste program, these items
must first be hazardous wastes. Items that still have product value and are still being
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Universal Waste - 3
used are not wastes and therefore are not subject to RCRA. In addition, wastes-
excluded from RCRA under the definition of solid or hazardous waste are not subject.
A material identified as a hazardous waste and meeting the definition of battery,
thermostat, pesticide, or lamp under Part 273 can be managed under the universal
waste regulations.
Although EPA's primary goal for the universal waste program is to encourage
recycling, batteries, thermostats, pesticides, and lamps being sent for disposal may also
be managed under the universal waste regulations. The universal waste program does
not mandate recycling. Currently, only these four wastes are covered under the federal
program. There is, however, a petition process in Part 273, Subpart G, that allows
individuals, as well as states, to petition EPA to add other wastestreams to the universal
waste program. Universal wastes that are mixed with hazardous wastes are handled
under the full hazardous waste regulations. However, mixtures of universal waste and
CESQG waste or household hazardous waste are subject to the universal waste
requirements since these hazardous wastes are not subject to full Subtitle C regulation.
The first wastestream covered under the universal waste program is hazardous waste
batteries. The universal waste regulations define a battery as a device consisting of one
or more electrically connected electrochemical cells which is designed to receive, store,
and deliver electrical energy (§273.6). Also included in this definition are unbroken
batteries from which the electrolyte has been removed. Hazardous waste batteries
meeting this definition will be subject to the universal waste regulations. However,
lead-acid batteries being recycled may be managed either as universal waste or under
Part 266, Subpart G, which contains special provisions for lead-acid batteries. EPA does
not have comprehensive data to make interpretations about whether certain battery
types are always or never hazardous, so it is up to the generator of a waste battery to
determine if that battery is subject to regulation as a hazardous waste.
The second waste type included under the universal waste program is certain
hazardous waste pesticides. Unused pesticides will often become banned for use,
damaged by temperature extremes, or no longer necessary due to crop changes. The
universal waste regulations apply to persons managing pesticides that are part of a
recall program or unused pesticides which are collected and managed as part of a waste
pesticide collection program (§273.3(a)). A recalled pesticide becomes a waste on the
date that two conditions occur: the generator agrees to participate in the recall, and the
person conducting the recall decides to discard the pesticide or burn it for energy
recovery. An unused pesticide becomes a waste on the date the generator decides to
discard it (§273.3(c)). Pesticides managed by farmers in accordance with §262.70, which
allows farmers to dispose waste pesticides on their own farm following the disposal
instructions on the pesticide label, are not subject to the universal waste regulations
(§273.3(b)).
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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4 - Universal Waste
The third category of universal waste regulated under the federal program is mercury-
containing thermostats. Thermostats are temperature control devices that contain
metallic mercury in an ampule attached to a bi-metal sensing element, and mercury-
containing ampules that have been removed from these devices (§273.6). The
thermostat category only covers those wastestreams that meet the thermostat definition.
Other equipment that contains mercury, such as gauges, manometers, relays, and
circuit boards, does not meet this definition and is not subject to the universal waste
program.
The final wastestream covered under the universal waste program is hazardous waste
lamps. Lamps often exhibit the toxicity characteristic (TC) for mercury, or sometimes
lead, making them a characteristic hazardous waste when discarded. In 1994, EPA
proposed two options for lamp management (59 FR 38288; July 27,1994), and a 1997
study evaluated mercury emissions from discarded lamps. After responding to
comments received on both documents, EPA added hazardous waste lamps to the
universal waste regulations. Universal waste lamps are defined as the bulb or tube
portion of an electric lighting device (§273.9). 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. Several states added
mercury lamps to their universal waste programs prior to the July 1999 final rule.
Therefore, this federal addition will make the management requirements consistent
with many state programs. The approach will also encourage the manufacture of low-
mercury lamps in industry.
2.2 UNIVERSAL WASTE HANDLERS
Universal waste handlers are people who generate or produce universal waste as well
as people who receive universal waste from other generators or handlers and
consolidate it before sending it to another handler, recycler, or treatment storage and
disposal facility. Handlers accumulate universal waste but do not treat, recycle, or
dispose of the waste. The universal waste regulations include requirements for two
groups of handlers based on the amount of universal waste accumulated on site at any
one time:
• SQHUW - accumulates less than 5,000 kilograms (kg) of all universal waste
categories
• LQHUW - accumulates 5,000 kg or greater of all universal waste categories.
Regulations for SQHUWs are found in Part 273, Subpart B, while those for LQHUWs
are found in Part 273, Subpart C. Once a handler triggers the LQHUW status, he or she
will remain a LQHUW for the rest of the calendar year. However, handler classification
can be re-evaluated at the start of each calendar year.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Universal Waste - 5
Universal waste handlers are the participants that benefit most from the universal waste
program. The reduced regulation, in comparison to the hazardous waste generator
regulations, makes it easier for universal waste handlers to store universal waste and
send it to a recycling facility. Table 1 provides a comparison between some of the
universal waste handler requirements and the hazardous waste generator requirements.
Both categories of universal waste handlers are prohibited from disposing of, diluting,
or treating universal waste except under limited circumstances as described in the
regulations. SQHUWs are not required to notify EPA of their universal management
activities, while LQHUWs must notify EPA and obtain an EPA identification number if
they do not already have one. On-site waste accumulation is limited to one year for
both SQHUWs and LQHUWs. Employees at SQHUW facilities must be trained in basic
handling and emergency information while those at LQHUW facilities must be trained
based on the employee's responsibilities in handling the universal waste. SQHUWs
have no recordkeeping requirements under the universal waste program. Although
universal waste shipments do not require a manifest, LQHUWs must maintain records
of all universal waste shipments received by and sent from the facility. These records
may be in the form of invoices, manifests, or other shipping papers. Transport of
universal waste by both SQHUWs and LQHUWs is allowed, but is subject to the
universal waste transporter regulations in Part 273, Subpart D.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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6 - Universal Waste
Table 1. Universal Waste Handler and Hazardous Waste Generator Requirements
Quantity limit
EPA Identification
Number
On-site accumulation
limit
Storage time limit
Manifest
Personnel training
SQHUW
< 5,000 kg on site
§273.6
Not required
§273.12
< 5,000 kg
§273.6
1 year, unless for
proper recovery,
treatment, or disposal
§273.15
Not required
§273.19
Basic training
§273.16
LQHUW
> 5,000 kg on site
§273.6
Required
§273.32
No limit
1 year, unless for
proper recovery,
treatment, or disposal
§273.35
Not required, but
must keep basic
shipping records
§273.39
Basic training geared
toward employee
responsibilities
§273.36
CESQG
< 100 kg/month
< 1 kg acute /month
§261. 5(a) and (e)
Not required
§261.5
< 1,000 kg
< 1 kg acute
< 100 kg spill residue
from acute
§§261.5(f)(2) & (g)(2)
None
§261.5
Not required
§261.5
Not required
§261.5
SQG
Between 100 and
1,000 kg/month
§262.34(d)
Required
§262.12
< 6,000 kg
§262.34(d)(l)
< 180 days or
< 270 days
§§262.34(d) & (e)
Required
§262.20
Basic training
§262.34(d)
LQG
> 1,000 kg /month or
> 1 kg acute/month
Part 262 and §261.5(e)
Required
§262.12
No limit
< 90 days
§262.34(a)
Required
§262.20
Full training
§262.34(a)
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Universal Waste - 7
2.3 TRANSPORTERS
Universal waste transporters are persons who move universal waste shipments from a
handler to another handler, a destination facility, or a foreign destination. Unlike the
used oil regulations, which allow generators to transport up to 55 gallons of their own
used oil without being considered a transporter, the universal waste transporter
regulations apply to persons hauling any amount of universal waste.
The universal waste transporter regulations can be found in Part 273, Subpart D.
Transporters are subject to the same prohibitions on disposal, dilution, and treatment as
universal waste handlers. Hazardous waste manifests are not required for universal
waste shipments, but transporters must comply with applicable Department of
Transportation (DOT) shipping paper requirements if the universal waste is defined as
a hazardous material under DOT regulations. Like hazardous waste transporters,
persons who transport universal waste may store the waste for up to 10 days at a
transfer facility. Exceeding the 10-day limit requires compliance with the applicable
handler regulations.
2.4 DESTINATION FACILITIES
The final person regulated under the universal waste program is the destination facility.
These facilities treat, dispose of, or recycle universal waste. Facilities that solely store
universal waste are regulated under the handler requirements. As a result, a facility
may be a handler for one type of universal waste (e.g., batteries) and a destination
facility for another type (e.g., pesticides). In general, a destination facility is subject to
full hazardous waste regulations as a treatment, storage, and disposal facility (TSDF),
including permitting, general facility standards, and unit-specific standards (§273.60(a)).
Destination facilities that recycle universal waste without any prior storage are subject
to regulation under §261.6(c)(2). Destination facilities are required to retain records of
all universal waste shipments received by and sent from the facility.
2.5 STATE AUTHORIZATION
Because the universal waste regulations provide less stringent management standards
for hazardous waste batteries, pesticides, and thermostats, the regulations are not
automatically effective in states that are authorized for the RCRA program. As with
other sections of the RCRA regulations, states can apply for and become authorized to
implement the universal waste program. EPA encourages states to adopt and become
authorized for the universal waste regulations since these streamlined requirements
encourage recycling of these commonly generated wastestreams.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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8 - Universal Waste
States that are applying for universal waste authorization or that have received
universal waste authorization may include additional wastes in their program. In
§273.81, EPA established criteria that a wastestream should meet to be included as a
universal waste. States should evaluate potential additional wastes in comparison to
these criteria. EPA reviews and approves a state program based solely on the four
wastes included in the federal program (i.e., batteries, pesticides, thermostats, and
lamps) and does not review state-only universal wastes. However, if EPA finds that a
state adds a waste that does not qualify under the federal criteria in §273.81 or that a
state is using management standards that are not protective of human health and the
environment, EPA can withdraw that state's authorization for the universal waste
program.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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Universal Waste - 9
3. SPECIAL ISSUES
The topic addressed below focuses on issues that relate to the universal waste program
and to typical calls received at the Hotline.
THE MERCURY-CONTAINING AND RECHARGEABLE BATTERY ACT
The Mercury-Containing and Rechargeable Battery Management Act (P.L. 104-142) was
signed into law by President Clinton on May 13,1996. Two main goals of this Act were
to decrease mercury content in batteries and to increase voluntary recycling of batteries.
Although this Act does not amend RCRA directly, it makes the universal waste
regulations effective in all 50 states for the management of:
• Used rechargeable batteries
• Lead-acid batteries not managed under Part 266, Subpart C
• Rechargeable alkaline products
• Certain mercury-containing batteries banned from domestic sale
• Used consumer products containing rechargeable batteries that cannot be easily
removed.
States are required to have programs identical to the federal universal waste program
for the management of these materials. Hazardous waste batteries that meet the
definition in this Act must be managed as universal waste.
The information in this document is not by any means a complete representation of EPA's regulations or policies,
but is an introduction to the topic used for Hotline training purposes.
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