ECAR Fact Sheet for New York
Batteries

Regulations
Self-Audit Checklist
Best Management Practices
Contacts
Related ECAR Fact Sheets
Other Relevant Resources

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The following fact sheet was prepared by the ECAR Center staff. Once prepared, each ECAR Center fact sheet undergoes a review process with the applicable state environmental agency(ies). You can check on the status of the review process here. Please read the disclaimer on the status page. While we have tried to present a summary of the essential information on this topic, you should be aware that other items, such as local regulations, may apply to you.

What You Need to Know

Because batteries contain lead and sulfuric acid, lead-acid battery disposal is fully regulated as a hazardous waste management activity. When intact lead-acid batteries are recycled, the handling requirements are relaxed, but the batteries are still subject to limited hazardous waste regulations. This fact sheet will tell you:

• How to determine whether spent batteries should be considered a hazardous waste.
• What you need to do to handle batteries in compliance with the rules that apply to you.

Regulations

Automotive recyclers who generate, collect, transport, store, or regenerate lead-acid batteries for reclamation purposes may be exempt from certain hazardous waste management requirements. Use the table on Page 3 of the New York Conservation Rules and Regulations on Spent Batteries (NYCRR 374-1.7).

You may choose to manage your spent lead-acid batteries under the "Universal Waste" rule, which is a special EPA designation. EPA developed universal waste regulations to encourage recycling of certain specific wastes. These rules are less demanding than the hazardous waste rules. The universal waste rules are applicable to auto recycling companies who receive and store batteries for recycling, but are not applicable to companies that reclaim batteries (covered under separate rules).

Auto recyclers who receive, store, and send batteries off-site for recycle are "universal waste handlers." There are two groups of handlers, based on the amount of universal waste accumulated on-site at any one time:

• Small Quantity Handler of Universal Wastes (SQHUW) – accumulates less than 5,000 kilograms (kg) (11,023 lbs.) of universal waste at any time during a calendar year.
• Large Quantity Handler of Universal Wastes (LQHUW) – accumulates 5,000 kilograms (kg) (11,023 lbs.) or more of universal waste at any time during the calendar year.

Once you trigger the LQHUW status you remain a LQHUW for the rest of the calendar year. However, you re-evaluate your classification at the start of each calendar year.

Regulations for LQHUW. The following is a summary of battery-related regulations for a large quantity handler of universal wastes.

Notification. A LQHUW must have applied for and received an EPA Identification Number, before meeting or exceeding the 5,000 kilogram storage limit. Note: If you previously notified EPA of hazardous waste management activities and received an EPA Identification Number, you do not need to apply for an EPA Identification Number.)

Waste management and storage. The following rules apply to management and storage of batteries:

1. You must contain any waste battery that shows evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions in a container. The container must be closed, structurally sound, compatible with the contents of the battery, and must lack evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable conditions.
2. A LQHUW may conduct the following activities as long as the casing of each individual battery cell is not breached and remains intact and closed (except that cells may be opened to remove electrolyte but must be immediately closed after removal):

• 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; or
• Removing electrolyte from batteries (A LQHUW who removes electrolyte from batteries, or who generates other solid waste (e.g., battery pack materials) as a result of the activities listed above, must determine whether the electrolyte and/or other solid waste exhibit a characteristic of hazardous waste (see Hazardous Waste Fact Sheet) and manage the waste appropriately).

Labeling and marking. Waste batteries (i.e., each battery), or a container or tank in which the batteries are contained, must be labeled or marked clearly with any one of the following phrases: "Universal Waste -- Battery(ies)," or "Waste Battery(ies)," or "Used Battery(ies)."

Accumulation time. A large quantity handler of universal waste may accumulate used batteries for no longer than one year from the date the waste battery is received. The LQHUW must be able to demonstrate the length of time that the universal waste has been accumulated. The handler may make this demonstration by:

• Placing the used battery in a container and marking or labeling the container with the earliest date that batteries were placed in the container.
• Marking or labeling each battery with the date it became a waste or was received.
• Maintaining an inventory system on-site that identifies the date the battery was received.
• Maintaining an inventory system on-site that identifies the earliest date that any battery in a group of batteries or a group of containers of batteries was received.
• Placing the battery in a specific accumulation area and identifying the earliest date that any battery in the area became a waste or was received.
• Any other method that clearly demonstrates the length of time that batteries have accumulated.

Employee training. A large quantity handler of universal waste must ensure that all employees are thoroughly familiar with proper waste handling and emergency procedures, relative to their responsibilities during normal facility operations and emergencies.

Response to releases. A large quantity handler of universal waste must immediately contain all releases of universal wastes and other residues from universal wastes. Also, they must determine whether any material resulting from the release is hazardous waste, and if so, must manage the hazardous waste in compliance with all applicable.

Off-site shipments. A large quantity handler of universal waste is prohibited from sending or taking universal waste to a place other than another universal waste handler, a destination facility, or a foreign destination.

If a large quantity handler of universal waste self-transports universal waste off-site, the handler becomes a universal waste transporter for those self-transportation activities and must comply with the certain transporter requirements.

If a universal waste being offered for off-site transportation meets the definition of hazardous materials under 49 CFR 171 through 180, a large quantity handler of universal waste must package, label, mark and placard the shipment, and prepare the proper shipping papers in accordance with the applicable Department of Transportation (DOT) regulations.

Prior to sending a shipment of universal waste to another universal waste handler, the originating handler must ensure that the receiving handler agrees to receive the shipment.

If a large quantity handler of universal waste sends a shipment of universal waste to another handler or to a destination facility and the shipment is rejected by the receiving handler or destination facility, the originating handler must either:

• Receive the waste back when notified that the shipment has been rejected, or
• Agree with the receiving handler on a destination facility to which the shipment will be sent.

Regulations for SQHUW. Regulations for small quantity handlers of universal waste are nearly the same as those for a large quantity handler. There are two notable exceptions:

• A small quantity handler of universal waste is not required to notify EPA of its universal waste handling activities and is not required to obtain and EPA Identification Number.

• The SQHUW is not required to keep shipping records for used batteries or other universal wastes.

Links to the Regulations. Use the following links to view the regulations pertaining to battery management.

New York Conservation Rules and Regulations on Spent Batteries (NYCRR 374-1.7)

New York Conservation Rules and Regulations on Universal Wastes (6 NYCRR 374-3)

Federal EPA Standards Applicable to Generators of Hazardous Waste

Self-Audit Checklist

When an inspector comes to your facility, there are certain things he or she checks to see if you are in compliance with environmental regulations. It makes good sense for you to perform a "self-audit" and catch and correct problems before they result in penalties. Also, there are some compliance incentives associated with self-audits (see Audit Policy Page).

Use the following list to audit your used battery storage areas and management procedures.

1. Has the facility made a size determination (SQHUW vs. LQHUW)? Review records and current inventory to verify the size determination was correct. A large quantity handler of universal wastes (LQHUW) is a facility that accumulates 5,000 kilograms (kg) (11,023 lbs.) or more of all universal wastes at any time during the calendar year.
2. If the facility is a LQHUW, they are required to have an EPA Identification Number. Verify that the facility has an EPA Identification Number.
3. All handlers of universal waste are required to meet specific accumulation time limits. Verify that the facility has a system in place to determine accumulation times and that no used batteries have been on-site for more that one year.
4. All handlers of universal waste are required to manage the batteries and other solid waste generated from battery activities according to specific parameters and procedures. Verify that universal waste batteries are managed in a way that prevents releases of any batteries or battery components to the environment. Verify that batteries that show evidence of leakage, spillage, or damage that could cause leakage under reasonably foreseeable condition are stored 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.)
5. All handlers of universal waste are required to manage releases according to specific procedures. Verify that all releases of waste battery 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 RCRA requirements.
6. All handlers of universal waste are required to manage the electrolyte from waste batteries according to specific procedures. Verify that, if electrolyte was removed from batteries or other solid waste (e.g., battery pack materials, discarded consumer products) was generated as a result of battery management activities, that the facility determined if any of the wastes exhibit the characteristics of a hazardous waste. Verify that, if it does exhibit the characteristics of a hazardous waste, it is treated and handled as a hazardous waste. 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.
7. All employees who handle or have responsibility for managing universal wastes are required to be trained. 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.
8. Universal waste batteries are required to be labeled. 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 BATTERY(IES)
   • USED BATTERY(IES).
9. Off-site shipments of universal waste from all handlers is required to be done according to specific procedures. Verify that the facility did not send or take universal waste to anyplace other than another universal waste handler, a destination facility, or a foreign destination.
10. Large quantity handlers are required to track off-site shipments. 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.

Verify that records are retained for at least 3 years:

• 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.

Best Management Practices (BMPs)

Most regulations tell you what you have to do to be in compliance, but they don’t explain how to do it. That’s where "best management practices" come into play. BMPs are proven methods that help you to get into compliance and stay there. The following BMPs are recommended for battery storage areas and management procedures.

• Use an authorized recycler.
• Indoor storage is recommended for lead-acid batteries.
• Store batteries on an acid resistant rack or tub.
• Batteries stored outside should be stored on impermeable surfaces such as concrete and should have secondary containment. Also, it is recommended that batteries be covered to prevent acid run off.
• Keep a neutralizing agent, such as baking soda, nearby in case of leaks or spills. If a spill does occur, the waste must be treated as a hazardous waste.
• When stacking batteries, make sure they are stored so that any fluid from leaking batteries will not be released into the environment.
• Electrolyte fluid in spent batteries contains enough lead to qualify it as a hazardous waste. This fluid, if discharged onto the ground, will likely make the soil which absorbs it a hazardous waste.Remove batteries before crushing any vehicles.
• Test batteries to determine usability or resale quality.
• If lead-acid batteries are recharged for resale, remove lead cable ends from batteries, store lead parts in a covered container that is strong enough to hold the weight of the lead and recycle the lead with a reputable recycler.
• If spent lead-acid batteries are going to be recycled as scrap batteries, leave lead battery cable ends attached to the scrap batteries.
• Check batteries for leaks, cracks, etc. prior to storing.
• Place cracked or leaking batteries in a closed, watertight, acid resistant storage container.

Contacts

1. For general questions, contact DEC Solid and Hazardous Materials Program at 518-402-8651.
2. New York State Spill Hotline: 1-800-457-7362.

Related ECAR Fact Sheets

1. Hazardous Waste

Other Relevant Resources

1. Automobile Recycling home page
2. New Requirements for Vehicle Dismantlers
3. A Quick Look at Your Automobile Recycling Facility
4. Forms for Auto Recyclers
5. Summary of Laws, Rules and Regs Relating to Auto Recyclers
6. Resource Guide for Auto Recyclers

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