Universal Waste Handbook

What is Universal Waste

A universal waste is a hazardous waste that is widely generated. Individuals and small businesses that do not typically generate other hazardous waste generate these wastes. To encourage recycling and reduce the amount of these wastes that are disposed of in an inappropriate manner, the State of Maine regulates the following products as universal wastes.

  • Rechargeable and small sealed lead acid batteries (they contain heavy metals, such as lead, cadmium, and mercury);
  • Cathode ray tubes (high lead content);
  • Certain light bulbs, that contain mercury and/or lead (e.g., “mercury-added lamps”);
  • Mercury devices;
  • Mercury thermostats;
  • Motor vehicle switches that contain mercury;
  • Totally enclosed, nonleaking, polychlorinated biphenyl (PCB) ballasts (PCBs may cause cancer in humans and bioaccumulate in fish and other foods); and
  • Oil-based architectural paint – limited to interior and exterior architectural coatings sold in containers of 5 gallons or less that is unused but intended for painting components of houses or other buildings.

Purpose of this Handbook

The purpose of this handbook is to provide information to those individuals, businesses, industries, and institutions that may be generators of universal waste; and to inform them of their responsibilities for proper universal waste management.
This handbook will help you to determine:

  • if you generate universal waste
  • if your wastes are regulated under Maine law
  • if you are a “large” or a “small” universal waste generator
  • what type of universal waste facility you are
  • how to manage your universal waste
  • how to ship your universal waste

This handbook is only a guide and does not incorporate all parts of the Universal Waste Regulations nor does it take the place of the actual regulations. Please refer to the Hazardous Waste Management Rules for the complete requirements. If you would like a paper copy of the "Hazardous Waste Management Rules" please call (207) 287-7688

Why Regulate and Recycle Universal Wastes?

The universal wastes that are the subject of this handbook would until recently have been viewed by many as products that could be thrown in the trash. These wastes contain hazardous constituents and fail hazardous waste criteria if they are tested. Most of these wastes contain heavy metals. These wastes when broken or incinerated release the metals to the environment through fugitive emissions or from incinerator stacks. Children are particularly vulnerable to these heavy metals. The release of mercury from mercury products such as lamps, thermostats, and thermometers contributes to the mercury load in Maine's environment. Polychlorinated biphenyls and mercury are both bioaccumulative and show up in our food supply. Bioaccumulative is a term used to define the tendency of certain contaminants to magnify in the food chain, for example from smaller fish to larger fish. Older fish and fish that eat other fish (like pickerel and bass) have the highest levels of these bioaccumulative contaminants.

The Maine Department of Environmental Protection (ME DEP) is particularly concerned with mercury releases. In 1991 studies began to investigate why Maine's bald eagles are reproducing much more slowly than those in other parts of the United States are. The studies revealed that nesting eaglets exhibited some of the highest concentrations of mercury ever reported in the literature.

In 1993 ME DEP initiated a study to measure levels of contamination in fish in Maine's lakes and ponds. The results from the study indicated widespread mercury levels in fish above the state level of concern. In May 1994, the Maine Department of Human Services recommended that people limit their consumption of fish based on the high levels of mercury found in freshwater fish throughout the State. For information on the fish consumption advisory visit the Maine Department of Health and Human Resources website or call (866) 292-3474.

The releases from universal wastes are only one component of the contaminant problem described above. It has taken decades for these contaminant levels to develop and will take decades to improve. But if you do your part by managing your universal waste properly, you can help decrease environmental contamination in Maine. Thank you for your help.

Who Generates Universal Waste and How?

Universal wastes are generated by almost anyone. Universal wastes are certain batteries, cathode ray tubes, certain lamps (light bulbs), mercury devices, mercury thermostats, motor vehicle mercury switches, and PCB ballasts. Examples of common activities that generate universal waste include:

  • Replacing certain types of batteries, including those used in cordless and cellular telephones, hearing aids and watches;
  • Replacing computer monitors and television sets;
  • Replacing mercury thermometers;
  • Replacing a mercury thermostat;
  • Replacing fluorescent light bulbs that contain mercury and/or lead;
  • Replacing PCB ballasts during an energy conversion of a building’s lamps;
  • Removing mercury switches from motor vehicles.

Types of Universal Waste Generators

Large Universal Waste Generator (LUWG):

A LUWG generates or accumulates more than 200 items of universal waste or 4,000 motor vehicle switches at any one time or in any given month.

A LUWG needs either an EPA or Maine hazardous waste generator identification (general requirements | storage and recordkeeping).

Small Universal Waste Generator (SUWG):

A SUWG generates and accumulates on site, 200 or less universal waste items or 4,000 or less motor vehicle switches at a time or in any given month. This number can be calculated by counting all individual items of any type of universal waste. For example:
50 Ni-Cd batteries plus 100 mercury lamps plus 25 cathode ray tubes plus 25 mercury thermostats equals 200 items of universal waste.

A SUWG does not need to obtain an identification number or conduct and document weekly inspections. (general requirements).

Households:

Households must manage their wastes that contain mercury as universal wastes. Households may self-transport their universal waste to their local transfer station or recycling center, and to retailers participating in collection programs to recycle mercury thermostats, mercury lamps, electronics, rechargeable and small sealed lead-acid batteries, and oil-based architectural paints

Types of Universal Waste Facilities

There are three types of universal waste facilities. They are distinct in their purpose and have different regulations applying to them. Their definitions and any special provisions are as follows.

Central Accumulation Facility:

There are three types of central accumulation facilities:

  • a facility where a generator consolidates its own universal wastes from the generators’ various facilities;
  • a licensed solid waste transfer station or town recycling center* where generators may take their universal waste if agreed to by the host municipality; and
  • a facility where less than 200 universal waste items are collected from a generator's site for which the facility provides a service function. Examples of this third category can be electrical contractors, cleaning companies or sign service companies.

If a central accumulation facility handles more than 5000 kg (approximately 11,000 pounds) of universal waste at a time or in any given month, it must obtain an EPA ID Number. Central Accumulation facilities that handle less than 5000 kg of universal waste must use the notification form in Appendix B to notify the Department of each type of universal waste they handle.

*A Recycling Center is a facility that is owned by the city or town or is a publicly contracted facility. This type of facility receives, for accumulation, pre-separated and uncontaminated, paper, cardboard, glass, plastic, metal, and universal wastes. Unlike a Universal Waste Recycling Facility, a publicly owned or contracted Recycling Center does not dismantle items to reclaim or separate universal waste.

Consolidation Facility:

A consolidation facility is a facility that collects and temporarily stores universal waste received from central accumulation facilities and/or generators while awaiting shipment to a Recycling Facility. This type of facility needs an EPA identification number (general requirements).

Recycling Facilities:

A facility that dismantles universal wastes to recover, reclaim or separate hazardous components for reuse is regulated as a universal waste recycling facility. This type of facility must be licensed and meet the requirements of Chapter 854 and 856 of the Hazardous Waste Management Rules or be authorized by the State where it is located.

Note: Appendix A shows the proper flow of universal waste from the generator through Recycling Facility.

Universal Waste Requirements

General Requirements

  1. Universal Waste Determination: Generators should determine if their wastes are hazardous waste and/or universal waste. For guidance on determining a hazardous waste see Chapter 851, Section 5.

    2. Universal waste includes the following items:
    1. Batteries, including Nickel Cadmium, Metal Hydride, small sealed lead acid, Lithium, Mercuric Oxide, Zinc Air and Silver Oxide button batteries. Note: Vehicle batteries are NOT considered universal waste; these batteries can be recycled through the battery deposit system, or if leaking or not intact they should be managed as a regular hazardous waste.
    2. Cathode ray tubes, including video display components of televisions, computer monitors, and other display devices.
    3. Certain lamps containing mercury or lead, including fluorescent, high-intensity discharge, neon, mercury vapor, high-pressure sodium, and metal halide bulbs. (All mercury-containing lamps must be managed as universal waste regardless of the amount of mercury in the lamp.)
    4. Mercury devices including mercury thermometers, sphygmomanometers, and nonmotor vehicle mercury switches.
    5. Mercury thermostats including temperature control devices, which contain mercury.
    6. Motor vehicle mercury switches, including hood and truck light switches and ABS switches.
    7. Totally enclosed non-leaking polychlorinated biphenyl (PCB) ballasts.
    8. Limited quantities of oil-based architectural paint.

      9. The battery types listed above may be managed in accordance with the Universal Waste rules described in this handbook, the labeling, tracking, and storage requirements of 40 CFR 273 as revised July 1, 2001, or in accordance with a Department sanctioned manufacturer take-back program.

  2. Prohibitions: Generators, owners or operators of any central accumulation or consolidation facility and transporters of universal waste are prohibited from conducting the following activities:
    1. Disposing of, diluting, or treating universal waste. The intentional breaking of cathode ray tubes or lamps is considered a form of treatment and may only be conducted at an authorized or licensed recycling facility.
    2. Sending or transporting a universal waste to any facility other than a central accumulation facility, consolidation facility for universal waste, or a recycling facility for universal waste. Exception: Ballasts and residues from mercury spill kits may be sent to an approved hazardous waste disposal or treatment facility.
  3. EPA Identification (Generator ID) Number or Department Notification: Generators that accumulate more than 200 items of universal waste or more than 4,000 motor vehicle mercury switches at any one time or in any given month must notify the Maine Department of Environmental Protection of the handling of universal waste and must obtain either an EPA Identification Number or a State Identification Number.

    If the generation rate or accumulation of Universal Waste exceeds 40 tons of CRTs or 5000 Kg (11,000 pounds) of all other types, then an EPA Identification Number must be obtained. This requirement is intended as a registration provision and does not make other sections of the Hazardous Waste Management Rules applicable unless they are otherwise applicable. Any facility that already has an EPA Identification Number for hazardous waste activities should use that same number for universal wastes, regardless of generation rate.

    An EPA Identification Number may be obtained by submitting EPA Notification form 8700-12 to:
    Maine Department of Environmental Protection
    Bureau of Remediation and Waste Management
    Division of Materials Management
    17 State House Station
    Augusta, Maine 04333-0017

    A State Identification Number may be obtained by completing the State Universal Waste Notification Form found in Appendix B of this Handbook. This form should be submitted to the address above.

Storage and Record-keeping

Generators, central accumulation and consolidation facilities, and transporters of universal waste must comply with the requirements for the storage of universal waste in accordance with Chapter 858. These provisions are summarized below:

  1. Universal waste must be stored in a secured area, which can be locked when not in use.
  2. Universal waste storage areas must be designated by a clearly marked sign, which states “Universal Hazardous Waste Storage” or the type of waste being stored there, i.e. “Waste Cathode Ray Tube Storage”, “Waste Lamp Storage”, "Waste Mercury Device Storage", “Waste Mercury Thermostat Storage”, "Waste Motor Vehicle Switch Storage", “Waste PCB Ballast Storage”.
  3. Store all universal waste in containers.
    1. The containers must not show evidence of leakage, spillage or damage that could cause leakage under reasonably foreseeable conditions.
    2. The containers must be closed when not in active use, structurally sound and compatible with the waste.
  4. Each container must be labeled with the date you receive it on-site or first put universal waste in it. (This date is called the accumulation start date) and the date the container becomes full, if you wish to store universal wastes for more than 365 days. (See #6 below.)
  5. Universal waste containers should be marked with the
    type of waste they contain, i.e. “Waste Cathode Ray Tubes”, “Waste Lamps”, "Waste Mercury Devices", “Waste Mercury Thermostats”, "Waste Motor Vehicle Switches", and “Waste PCB Ballasts”.
  6. Universal wastes cannot be stored for more than 365 days from the date the waste is first placed in the container. However, there is an exception, which allows additional storage time where it is needed to fill a container of waste no larger than the following container sizes and the container is shipped no more than 90 days from the date the container is filled*:
    1. Batteries: A container no larger than 30 gallons.
    2. Cathode Ray Tubes: One Gaylord container, usually 24 CRTs will fit in one Gaylord.
    3. Lamps: A container designed for no more than 190 lamps.
    4. Mercury Thermostats: A container no larger than 30 gallons.
    5. Mercury Devices: A container no larger than 55 gallons.
    6. Motor Vehicle Mercury Switches: A container no larger than 5 gallons.
    7. PCB Ballasts: A container no larger than 30 gallons.

    *Motor vehicle mercury switches must be shipped off at least every three years from when waste is first placed in the container regardless of whether the 5-gallon container is filled.
  7. Universal waste must be stored so they are not exposed to the weather.
  8. Universal waste must be packed in containers with packing materials adequate to prevent breakage during
    storage, handling, and transportation. The use of sectional or egg carton type of packing materials is suggested. The type and amount of packing materials should be adequate to prevent breakage during normal handling and shipping. Certain universal wastes are more fragile than others and will require more care in this regard. Other universal wastes are less fragile such as metal motor vehicle switches and are unlikely to break if placed in a container without packing material. A few motor vehicle switches are made of glass and do need packing material to protect them
    from breakage.
  9. Full Universal waste containers must be sealed securely around box openings.
    Any universal waste containers must immediately be sealed if incidental breakage occurs. This is an extremely important provision to prevent any broken items from escaping the container, exposing the workers and contaminating the storage area and transportation vehicle. Wide tape with good adhesive properties and that is waterproof is a good choice for boxes. Duct tape often comes loose with time and is not a good choice for most situations.
  10. Boxes of universal waste must not be stacked more than 5 feet high. This prevents crushing of items stored in boxes in the lower levels.
  11. Universal waste storage areas must be inspected weekly and the inspection documented in a written inspection log (see Appendix D).
  12. The log must include the following items:
    1. Name of the inspector.
    2. Date of the inspection.
    3. The condition of all waste containers.
    4. Description of any problem noted during the inspection and action taken to fix it.
    5. Generators must also maintain a record of the number and type of universal waste on site. (This item may be located somewhere other than the log.)
    Small Universal Waste Generators are not required to meet the above weekly inspection requirements except for keeping track of the number and type of universal waste items on site. However, it is recommended that an inspection is conducted whenever waste is added to the universal waste area to reduce the potential for contamination or exposure to universal waste.
  13. Universal waste containers must be stored to facilitate inspection of the container. The inspector shall be able to determine the accumulation start date, container full date, and the container’s condition.
  14. All releases of waste and residues resulting from spills or leaks of universal waste must, immediately, be contained and transferred into a container that meets the requirements of the Maine Hazardous Waste Management Rules.

    Incidental breakage of ten (10) or fewer lamps or CRTs may still be handled as universal waste. Spills resulting from other than incidental breakage must be handled as hazardous waste in accordance with Chapter 850, Section 3A(13)(e)(viii). The total amount of broken lamps and CRTs in storage may exceed ten (10) items provided no breakage event exceeds the incidental limits. Incidental breakage should, however, be a rare occasion. If frequent breakage is occurring, the generator, facility, and transporter should review their handling procedures and packing materials and make adjustments to prevent breakage.

    See Appendix G and Appendix H for suggested spill clean-up plans developed by the Department for use by small universal waste generators.
  15. Central Accumulation and Consolidation Facilities must:
    1. Maintain an inventory system that identifies the date and manifest or Uniform Bill of Lading number for each container or group of containers that is received at or shipped from the facility.
    2. Mark each container of universal waste with the date the container arrived at the facility, or if universal waste items are added to another container for consolidation, the container must be marked with the date that the first waste item was placed into the container.

Closure

When a central accumulation facility no longer handles universal wastes at a site, the owner or operator must ensure that all universal wastes and any associated residues are removed to a facility licensed to handle the waste and provide notice to DEP within 10 days of ceasing acceptance of UW. When a consolidation facility no longer handles universal wastes, the owner or operator must conduct closure in accordance with Chapter 851, Section 11. The intent of these provisions is to ensure the site is free of hazardous waste contamination.

Training

Generators, owners or operators of any central accumulation or consolidation facility and transporters of universal waste must comply with the following requirements for training:

  1. Train all employees and contractors who handle or have responsibility for managing universal waste on proper handling and emergency procedures.*
  2. Documentation of the training must be maintained at the facility** for a minimum of three years from the date the facility first receives or ships universal waste, or for the length of employment, whichever is longer. This documentation must include the name of the employee or contractor receiving the training, the date of the training, and the information covered during the training.

*Training may be provided by any qualified individual such as the generator, central accumulation or consolidation facility personnel, the State DEP or a private consultant.

**Instate small universal waste generators and instate central accumulation facilities may have their training records maintained by the instate consolidator provided the instate consolidator meets the above requirements.

Shipping

Generators, owners or operators of any central accumulation or consolidation facility and transporters of universal waste must comply with the requirements for the shipping of universal waste as follows:

  1. The universal waste must be whole, intact, and unbroken.
  2. The universal waste must be in proper packaging that includes closed containers that are compatible with the type and amount of universal waste being shipped. Packages must also meet the U.S. Department of Transportation standards in 49 CFR 171-180, if applicable.
  3. A Maine Recyclable Material Uniform Bill of Lading, a.k.a. “UBOL” (Appendix I) or Uniform Hazardous Waste Manifest must accompany the universal waste. Copies of these documents must be submitted to the Department. The Department on a case by case basis may approve alternative shipping documents for use. Appendices J and K contain information helpful in completing the Recyclable Material Uniform Bill of Lading.

Small Universal Waste Generators, Generator-owned Central Accumulation Facilities and Municipal-owned Transfer/Recycling Facilities may use a log system of tracking (see Appendix C) instead of a manifest or UBOL. This is allowed for movement of universal waste: (1) from the generator to the central accumulation facility, and (2) from the central accumulation facility or the municipal-owned transfer/recycling facility to the consolidation facility. The consolidation facility must utilize either a UBOL or manifest for movements of these wastes from the consolidation facility to the recycling facility. The log system of tracking is allowed as long as the following requirements are met:

  1. For a Small Universal Waste Generator:
    1. The waste is sent to an in-state central accumulation or in-state consolidation facility.
    2. The required information must be recorded on the log sheet upon arrival at the central accumulation facility. If the Small Generator is maintaining their own log, only part 2A is needed.
    3. The consolidation facility must submit the required quarterly universal waste report (see Appendix E and Appendix F) to the Department on time.*
  2. For Central Accumulation Facilities (Includes company-owned and municipal):
    1. The waste is sent to an in-state consolidation facility.
    2. The universal waste information is recorded on the log sheet. Company-owned Central Accumulation Facilities must use Log Forms Part 1 and Part 2A. Transfer Station/Recycling Centers (Municipal) must use Log Forms Part 1 and Part 2B.
    3. The log sheet accompanies the waste to the in-state consolidation facility, and the consolidator submits the quarterly universal waste report (see Appendix E and Appendix F) to the Department on time.*
      4. Or:
    4. The waste is sent to a consolidation facility or recycling facility on a UBOL or manifest and the logs are submitted with the Department's copy of the shipping document.

    The log sheet completed by the small universal waste generator and the central accumulation facility must contain the following information:
      1. Name, address and telephone number of the generator. (If from a household enter “Household Generator” instead of name, address and telephone number.)
      2. Date of delivery to the facility.
      3. Type and quantity of universal waste.
        * Note: an arrangement must be made with the consolidation facility before collection begins to ensure that the consolidation facility will carry through on this requirement.
  3. For a Consolidation Facility that is receiving universal waste on a log system of tracking:
    1. The waste is sent to a recycling facility, except for ballasts and mercury spill kits
    2. The log sheets are accurate and complete.
    3. A quarterly universal waste report (see Appendix E and Appendix F for sample forms - also available on the Department's website) is submitted to the Department for all universal wastes received during that quarter. Quarters are calendar year quarters (i.e.: January -March, April - June, July - September, October - December). The quarterly reports are due within 30 days of the end of the quarter.

If shipping universal waste out of or into the country, shippers must meet the export and import requirements, if applicable, contained in Chapter 857, Section 7D.

Not all states recognize Maine's universal wastes as universal wastes in their states. Certain states may require PCB ballasts and/or certain other Maine universal wastes to be transported on a hazardous waste manifest rather than a UBOL. Consult with your transporter or designated facility to see if this applies.

For example: When shipping PCB Ballasts to a recycling facility in Massachusetts they must be shipped on a hazardous waste manifest. PCB Ballasts are currently a state-regulated hazardous waste in Massachusetts and will need to be identified with the State Waste Code of MA02 as well as the Maine Universal Waste Code of MRM002

Records Retention and Reporting Requirements

  1. Generators, central accumulation facilities, and consolidation facilities must retain the following documents and paperwork at the facility:
    1. Inspection logs must be kept for one (1) year from the date of shipment or receipt of universal waste.
    2. Training documentation must be kept for at least three (3) years from the date of shipment, receipt of universal waste or length of employment whichever is longer.**
    3. Bills of Lading, manifests and log forms must be kept for at least three (3) years from the date of shipment or receipt of universal waste.
  2. Generators that handle hazardous wastes other than universal wastes on the site of generation must report annually to the Department in accordance with the provisions of Chapter 854, Section 6C(11).

**In-state small universal waste generators and in-state central accumulation facilities may have records (b) and (d) above maintained by the in-state consolidator provided the in-state consolidator meets the above requirements.

Transporters

Transporters of universal waste must meet the transporting requirements in accordance with Chapter 853, Section 11:

  1. The following persons may transport universal waste:
    1. A licensed hazardous waste transporter.
    2. A common carrier.
    3. A universal waste generator transporting his or her own universal waste.
    4. An owner or operator of a central accumulation facility.
    5. An owner or operator of a consolidation facility.
  2. Universal waste must be transported to a facility authorized to handle the waste under a state program and which is a defined universal waste facility and in accordance with the following guidance:
    Transporters may only ship universal waste from:
    1. A generator to a central accumulation facility, consolidation facility, or recycling facility.
    2. A central accumulation facility to a consolidation facility or recycling facility.
    3. A consolidation facility to recycling facility.
  3. Transporters must meet all of the requirements of Chapter 853, Section 11, of the Hazardous Waste Management Rules, including the minimum $1,000,000 of liability insurance. Note: Small quantity generators transporting their own universal waste, and municipalities, state and federal governments are exempt from the insurance requirement. These rules include provisions for having a spill kit, spill response plan, and for training drivers in the implementation of the plan.

Any person involved in the transportation of universal waste should consult Chapter 853, Section 11, before transporting universal wastes (see Appendix L).

Universal Waste Collection Programs

Manufacturer Takeback (Product Stewardship) Programs

The Department can approve alternatives to the universal waste handling requirements described in this guidance document for “manufacturer takeback” programs. Currently, there are six (6) Department sanctioned take-back programs in Maine.

  1. The Thermostat Recycling Corporation pays $5 each for mercury thermostats returned through HVAC wholesalers and participating retailers.
  2. The Rechargeable Battery Recycling Corporation takes back Nickel Cadmium, Nickel Metal Hydride, Lithium-Ion and small sealed lead acid rechargeable batteries. These items are collected at participating retail stores, businesses and governmental agencies. Find more information on the battery recycling program and a directory of participating locations.
  3. The Automobile Manufacturers take back mercury switches from motor vehicles when they are dismantled. There are two separate programs, one for passenger vehicles including pickup trucks and one for medium and heavy-duty trucks.
    1. Passenger Vehicle Program. In Maine, automobile companies pay for the collection and recycling of mercury switches. Auto dismantlers can sign up with the End of Life Vehicle Solutions (ELVS) program (.pdf) to receive a free collection bucket and $4 for each switch collected.
    2. Medium and Heavy Truck Program. The Truck Manufacturers Association on behalf of their members operates the truck program. The White & Bradstreet facility in Augusta serves as the consolidation facility for this program. Dismantlers of medium and heavy-duty trucks can take their mercury switches along with their log sheets to the White & Bradstreet facility and receive a $4 bounty per switch.
  4. E-waste Program. The Electronics Manufacturers' Take Back Program takes televisions, computer monitors, desktop printers, game consoles, e-readers, and tablets from households, K-12 schools, and businesses (for profit & non-profit) with 100 or fewer employees.
  5. Mercury-added lamp (fluorescent light bulb) program. A free recycling program for all types of fluorescent light bulbs from households only.
  6. Architectural paint recycling program. This program offers free recycling of interior and exterior architectural coatings (both latex and oil-based) sold in containers of 5 gallons or less that is unused but intended for painting components of houses or other buildings. There are convenient drop-off locations across the state, and the program offers a large volume pick-up service to help contractors clean out stockpiles of old paint.

Appendices