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       vxEPA
                  United States
                  Environmental Protection
                  Office of.
                  Solid Waste
                  Washington, DC 20460
October 1,1989
                  System
                  Startup
                  Guide
   EPA
   530
   1989.5
RCRIS

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                                     Acknowledgement


                   We would like to acknowledge Tricia Henry for her work

                   in compiling the Handler Section of Appendix C and for

                   coming up with the idea in the first place.  Thanks Tricia!
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                              HEADQUARTERS LIBRARY
                              ENVIRONMENTAL PROTECTION AGENCY
                              WASHINGTON, D.C. 20460
   o  System Startup Guide
   CM

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                          TABLE OF CONTENTS
 Section    Description                                      Page

 FOREWORD                                                vi

 EXECUTIVE SUMMARY                                      vii

 1.       PREPARATION                                     1-1

 1.1      CLEANUP AND COLLECTION OVERVIEW              1-1

 12      DATA CLEANUP ISSUES                             1-3
 2.2.2     UNIVERSE FIELDS                                  1-4
 2.2.2     OTHER HANDLER ELEMENTS                        2-5
 2.2J     PERMIT/CLOSURE/POST-CLOSURE                    1-7
 1,2.4     COMPLIANCE MONITORING & ENFORCEMENT
         (CM&E)                                            1-10
 2.2.5     CORRECTIVE ACTION                       .        1-11

 1.3.      DATA CLEANUP TOOLS                             1-11

 1.4      COLLECT NEW INFORMATION REQUIRED BY RCRIS     1-13


 2.       CONVERSION

 2.1      CONVERSION OPTIONS                             2-1
 2.1.1     HID  CONVERSION OPTIONS                         2-2
 2.2.2.2    Sources = S or E or Neither                            2-2
 2.2.2.2    HID  Core Only versus Core and Non-Core                2-3
 2.2.2.3    HID  Contact Address Information                       2-4
 2.1.2     PMT CONVERSION OPTIONS                         2-5
 2.13     CM&E CONVERSION OPTIONS                        2-5
 2.2.3.2    CMcVE Core versus Core  and Non-Core                  2-6
 2.13.2    CM&E Violation  Class                                2-7
 2.133    CM&E TSDS' Start Date'                              2-7
 2.13.4    CM&E 'Unfinished Business' Start Date                  2-8
 2.2.2.5    CM&E Generator Data                                2-9
 2.13.6    CM&E Transporter Data                               2-9
 2.1.4     CA CONVERSION OPTIONS                          2-9

2.2       CONVERSION OF CARS AND HWDMS TO RCRIS        2-10
         - Pre-Conversion Instructions                          2-10
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         - HID, PERMITTING, CM&E CONVERSION             2-12
 2.2.2     HWDMS TO RCRIS CONVERSION MENU              2-13
 2.2.2.2   Snapshot of HWDMS Database                        2-13
 2.2.2.2   Handler ID Conversion Extract                        2-16
 2.2.2.3   Permitting/Closure/Post-Closure  Conversion Extract      2-19
 2.2.1.4   Compliance Conversion  Extract                        2-21
 2.2.2.5 '  HWDMS Conversion Output                         2-24
 2.2.2     CA CARS EXTRACT                                2-26
 2.23     HID, CM&E, AND PMT RCRIS LOADS MENU           2-28
 2.23.1   RCRIS Load                                        2-28
 2.2.4     CA RCRIS LOAD                                   2-30
 2.25     CONVERSION EDITOR                              2-32
 2.2.6     BULK DATA TRANSFER AND COPY                  2-39
 2.2.6.2   Copy Conversion Flat Files  to Another Account           2-40
 2.2.6.2   Bulk Data Transfer Conversion Flat  Files                2-41
 2.2.7     DOWNLOAD TO PC DISKETTE                        2-43

 3.       PARALLEL OPERATIONS AND RECONCILIATION      3-1

 3.1      PARALLEL OPERATIONS  OVERVIEW                 3-1
 3.2.2     PARALLEL OPERATIONS PROCESS                   3-1
 3.2.2     PARALLEL OPERATIONS COMPONENTS              3-2
 3.13     RECONCILIATION                       .           3-3
 3.2.4     SELECTING THE TIMEFRAME                        3-3

 3.2      SELECTING AN APPROACH TO PARALLEL
         OPERATIONS                                      3-5
 3.2.1     MANUAL, AUTOMATED AND TRANSLATOR STATES  3-6
 3.2.2     DATA GATHERING AND DATA ENTRY               3-7
 3.2.2.2    Team Approach                                     3-7
 3,22.2    Everyone  Uses Both  Systems                          3-8
 3.223    Switch All Users to RCRIS                            3-8
 3.2.2.4    Variations on a  Theme                               3-9

 33      RECONCILING OBJECTIVES AND METHODS           3-10
 3.3.2     HANDLER ID RECONCILIATION                      3-12
 3.3.2     PERMITTING  RECONCILIATION                      3-14
333     CM&E RECONCILIATION                            3-14
33.4     CORRECTIVE  ACTION RECONCILIATION              3-25
APPENDIX A  HWDMS/CARS TO RCRIS CONVERSION
             CHECKLIST                                   A-l

APPENDIX B  HWDMS REPORTS                             B-l
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§      APPENDIX C  DETAILED TECHNICAL SPECIFICATIONS        C-l

§        APPENDIX D  HWDMS DATA ELEMENTS AND
                    CORRESPONDING RCRIS DATA ELEMENTS      D-l

        APPENDIX E  DATA ELEMENT WORKSHEET                E-l
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        APPENDIX F  AUTOMATED VERSUS MANUAL DOUBLE
                    DATA ENTRY                             F-l
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        APPENDIX G  AUTOMATED VERSUS MANUAL
*                  RECONCILIATION                          G-l
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                           EXECUTIVE SUMMARY

 The Resource Conservation and Recovery  Information System (RCRIS) is EPA's
 new computerized information management system for managing the hazardous
 waste program mandated by the Resource Conservation and Recovery Act (RCRA).
 RCRIS replaces the Hazardous Waste Data Management System (HWDMS)  and the
 Corrective Action Reporting System (CARS). In order to avoid extensive re-entry,
 HWDMS & CARS data that is already in  RCRIS, a conversion  utility has been
 provided to help initialize RCRIS.  The purpose of this document is to guide you
 through the activities necessary to prepare for and initialize a RCRIS data base.

 The goal of the RCRIS system is to provide a more effective means  for tracking
 hazardous waste handlers regulated under RCRA.  RCRIS reaches this goal and
 enables EPA  to respond to the diversity of information management needs at EPA
 headquarters, EPA regions, states and territories.   The design of RCRIS uses the
 concept of two domains of information needs, implementer  needs and oversight
 needs.  HWDMS was designed mainly to meet oversight reporting needs.  Because
 the RCRIS design includes both implementer  and oversight needs, it is  a more
 effective tool  for both domains.

 RCRIS relies  on the implementer. Hazardous waste information is collected at the
 implementer  level and entered into RCRIS. Hazardous waste facility information is
 also collected from both state and regional  implementers and entered into RCRIS.
 This provides a "merged" view of all handler activities. The oversight view of
 RCRIS is  then constructed by extracting RCRA core information from the  merged
 view and creating a national view of RCRA handler activities.

 RCRIS startup consists of four phases, three of which are discussed in a section of
 this guide. The first phase, which is the preparation phase, includes data  cleanup
and  data collection  activities. Data  cleanup is  the  process by which existing
hazardous waste handler information is assessed and, where necessary, corrected.
Cleanup of existing information enables states and regions to get an early start in
achieving the data quality level that is targeted for RCRIS. Data collection is the
phase where information which is required for RCRIS, but was not previously
required by HWDMS or CARS, is gathered for entry.
System Startup Guide
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 Installation is the second phase. It is not discussed in this document.  It is described
 in detail in the RCRIS DBA Handbook. The RCRIS software and data base files must
 be installed before the next stage can be completed.

 Conversion is the third phase of RCRIS startup. There are several steps involved in
 conversion. First, the implementer chooses from  several conversion options.  Next,
 the conversion software is run and data Hies are created  with the converted data.
 Those files are then transferred to the target RCRIS machine and loaded into the
 data base. Lastly, data that was  collected in phase one is entered into the RCRIS
 system.

 The fourth phase consists of reviewing the data for accuracy and operating RCRIS
 simultaneously with HWDMS and CARS.  Parallel operations ensures that the new
 system adequately replaces the functionality of the old  system.  At the end of this
 phase, RCRIS is ready to run as a production system.

 Proper planning is necessary throughout the process.  It need not be long in
 duration, nor complex. Rather, it should focus on the  two fundamental planning
 activities necessary for success. First, regions and states should coordinate and agree
 on relevant  matters in this  document.  This includes  discussions  about data
 management responsibilities and  data quality objectives for HWDMS data during
 the installation process. Second and equally important,  resource and scheduling
 requirements should be assessed.

 A number of tools are provided to assist with the RCRIS startup. This guide, as the
 primary  tool, contains forms, worksheets, guidance, and a conversion checklist.
 Because  HWDMS is the main source  of current hazardous  waste handler data,
 cleanup,  collection,  and data assessment tools  have been developed for use in
 converting that data.  These tools will help implementers  significantly reduce
 workload  and manpower requirements  and  provide for a  more  successful
installation. The first two sections of the document focuses on those implementers
who choose to convert from HWDMS and CARS. However, other implementers
will  also benefit from reading these sections.  The  third section is for  all
implementers and discusses the parallel operations process.
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                            Related Documents


The following documents may also be of use to the implementer during RCRIS

startup.


•     RCRIS DBA Handbook - contains information on how to install the RCRIS

      software.


•     RCRIS Data Element Dictionary (DED) - contains a list of all the data elements

      in the RCRIS data base.  Includes information on  the format, allowed values

      and purpose of each data element.


•     Technical Specification for the Conversion of HWDMS and CARS data to the

      RCRIS Data  Base - contains the process and rules used to convert HWDMS

      and CARS data to RCRIS format.
       System Startup Guide
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                     RCRIS   STARTUP PROCESS
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           COLLECT
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                      CLEANUP
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                  CHECKLIST
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HWDMS Reports
HWDMS Data Element Dictionary
CARS Data Element Dictionary
RCRIS Data Element Dictionary
Conversion Tech. Specifications
RCRIS Startup Guide
 - Cleanup Guidance
 - Data Element Worksheet
 • Data Collection Forms
 • Conversion Checklist
                                                           Installation Software
                                                           DBA Handbook
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                                RCRIS Data Element Dictionary
                                HWDMS Data Element Dictionary
                                CARS Data Element Dictionary
                                Data Entry Forms
   System Startup Guide
                                  IX

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                                SECTION 1

                              PREPARATION

 The preparation for installing and running the RCRIS system involves determining
 what data will be used to initialize the data base, where it will come from and what
 needs to be done to prepare the data for entry into RCRIS.  Some implementers will
 choose to  use  data  in  existing systems  such as HWDMS  or  CARS.   Other
 implementers may decide to enter all data manually. Still others will decide to use
 an implementer  specific system as the data source. This section discusses the work
 needed to cleanup data in existing systems and the data collection required in RCRIS
 that is not already in HWDMS or CARS system. Implementers who choose  to
 convert data from their own non-HWDMS or CARS systems must determine for
 themselves what work is required.

 Since these tasks will have an impact on resources and  scheduling, this section
 should be  carefully reviewed  before planning the RCRIS startup.  Since parallel
 operations  also requires resources not normally scheduled, Section 3 should also  be
 reviewed prior to planning  resource requirements.
1.1 CLEANUP AND COLLECTION OVERVIEW

Data cleanup and collection should begin well before the installation of RCRIS
hardware or software. It is preferable to perform as much of the cleanup as possible
on the existing data bases, prior to  conversion, instead of attempting to remove
inaccuracies after the conversion. There are several advantages to this approach.
First, it allows the cleanup workload to be evenly distributed over a greater span of
time than if cleanup activities are concentrated in the period of time immediately
after conversion. Second, it prevents the compounding of errors related to the
conversion itself because they are eliminated before the conversion is done. Third,
more  time is available  for the inevitable  "unexpected"  cleanup tasks that might
occur after conversion.  The result is that less total effort is expended.

Data cleanup could involve a HWDMS data base, a CARS data base, a non-HWDMS
or CARS data base, or a  combination of these. This section deals with the cleanup of
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                                                                                  I
 HWDMS and CARS and the collection of RCRIS data which is not available in
 HWDMS or CARS. Implemented who use data bases and systems other than
 HWDMS and CARS to store and process hazardous waste handler information
 should determine the cleanup and collection activities required for those systems.

 There are several options for converting data from HWDMS and CARS to RCRIS.
 An implementer must decide whether to convert all data or just a  subset of the data.
 The subset can be by module,  i.e. Handler, Permitting,  Corrective  Action or
 Compliance Monitoring and Enforcement.  It can also  be a subset within a module.
 The amount of data converted will determine the workload involved.  Appendix A
 is a checklist for converting HWDMS and CARS data to RCRIS. Chapter 2 discusses
 these conversion options.  The decision  on  what to convert from HWDMS or CARS
 should be made prior to assessing the workload requirements.

 Implementers  who choose to  convert from HWDMS are provided various reports
 to assist  in assessing the  amount of cleanup required in the current HWDMS data
 base. Section 1.2 discusses why cleanup is advisable prior, to conversion. Section 1.3
 describes the reports available to help determine the amount of cleanup required. If
 you are planning to convert from a system other than HWDMS, you will need to
 use your own reports to determine data quality.

 In addition to reviewing the quality of existing system data, to estimate the cleanup
 workload, you must also consider the resource and scheduling impacts of collecting
 data that is missing in HWDMS or that is required by RCRIS but not tracked by
 HWDMS. Data collection is discussed in Section 1.4.

 Coordination between the State and Region is essential for the transition to RCRIS.
 The initialization of the State and Regional  implementer data bases must be done at
 the same time.  After that, parallel operations and the switch to  production RCRIS
 must also be done simultaneously.  The State and Region must coordinate activities
 so that these events happen in a timely fashion.

 Additionally, proper coordination can save both the State and Region work.  Each
implementer could agree to cleanup a certain part of the data base thereby saving the
other implementer the work.  For example, the State might cleanup the notification
data while the Region cleans up the  inspection information.   Another  area for
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 agreement is in the source » S and  E records.  The conversion software will create

 either the S or the E record or neither depending on the conversion option selected

 and the HWDMS data values.  A Region and State may agree that all the records

 should be S records and the Region will create E records as necessary when there is a

 disagreement.  On the other hand, the State and Region could agree to only creating

 E records with the State creating S records only as necessary. Either way, this will cut

 down the amount of post conversion cleanup required.


 The State and Region must also coordinate who is responsible for maintaining the

 data base and transferring the data to the regional merged data base. This includes

 not only who is to do the work but also when  it will be done.  During parallel

 operations the transfer may have to be done several times to work out any problems

 that arise.


 Appendices C and  D have been  created to assist in  the conversion  process.

 Appendix C is the conversion rules section of the Technical Specifications for the

 Conversion of HWDMS and CARS Data to the RCRIS Data Base. It is a list of all the

 data elements in the Handler,  Permit, CM&E and Corrective Action  modules of

 RCRIS.  It contains information required for  effective  cleanup.  It includes the

 RCRIS  data element name, the corresponding HWDMS or CARS data element

 name, the conversion rule and any special concerns about the conversion rule.

 Appendix D has a  list of all  the  HWDMS data elements and the RCRIS data

 elements they convert to. The major difference between Appendix C and Appendix

 D is that Appendix C lists the elements as they are found  in the RCRIS data element

 dictionary.  Appendix  D  is in the same  order  as the HWDMS data  element

 dictionary.
1.2  DATA CLEANUP ISSUES


Data cleanup relates to all sections of the HWDMS, CARS and RCRIS data bases but

there are several areas in particular where data cleanup will be most effective.  Most

of these  are areas where the conversion  from HWDMS or CARS to RCRIS is not

straightforward.  Errors in the source can be compounded in the conversion process.

Cleaning up the data prior to conversion will greatly simplify the post conversion

cleanup effort.  This section is a general discussion of the cleanup issues.  More
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 detailed information on the conversion  rules is  included in Appendix C.  The
 conversion rules should be reviewed to understand the implication of initializing
 RCRIS with HWDMS and CARS data. Some of the major conversion problems are
 discussed below.
 2.2.2  UNIVERSE FIELDS

 The first important area of HWDMS for data cleanup is those data elements which
 are converted  to  RCRIS  data elements  that  are used in the various universe
 calculations.  These elements are moved to the Source segment in the Handler 2
 file.  The Source segment contains one record each for Notification, Part A, State and
 EPA Region  information.  The  conversion software may put data into  all four
 source records depending  on how the data looks in HWDMS.  If the information is
 incorrect, it could  require  cleanup in all four records.  The pre-conversion cleanup
 of these elements  will significantly lessen the post conversion cleanup necessary.
 Understanding  the conversion  process  and  the universe calculations provides
 insight into how to fix the HWDMS data prior to conversion if possible.  If pre-
 conversion cleanup is not  possible, understanding the process will at least provide
 direction of the post conversion cleanup requirements.

 The  universe  calculations  for generators,  small quantity generators (SQG),
 transporters and TSDs in RCRIS depend on the RCRIS indicator and RCRA status
 data elements.   For the three TSD universe data elements,  the  calculation also
 depends on which  process codes the handler has.   This information is all located in
 the process segment below the source segment of the Handler! file. During RCRIS
 initialization the  information  is converted  from  the  HWDMS activity, non
 regulated, facility type and Part A process code data elements.  Ensuring that  the
 HWDMS data is as accurate as possible will allow the conversion and calculations to
 proceed most smoothly.

The RCRIS Activity Indicator data elements for generators (HGEN)  and transporters
 (HTRANS) are  converted  from the HWDMS Activity  data elements for generator
 (C1101) and transporter (C1102).  The C1101 value is moved without change to
RCRIS.  If there is  any value in C1102, the RCRIS transporter  indicator is set to X.
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 Verifying the accuracy of these fields in HWDMS ensures that they will be accurate
 in the initialized RCRIS data base.

 The non-regulated facility indicator in HWDMS (C303) is used  to set the RCRA
 status fields in RCRIS.  If C303 is blank, the RCRA  status fields  for generator
 (HRCRA_S_GEN), transporter (HRCRA_S_TRA) and TSD (HRCRA_S_TSD) is set
 to R indicating the handler is regulated.  If the HWDMS C303 field is something
 other than blank, then the RCRA status data element will not be set to R. Therefore,
 if C303 has been used to indicate a status other than non-regulated and the handler
 is regulated, the conversion will be incorrect.

 The TSD universe fields in RCRIS  use data from the HWDMS facility type (C305),
 facility status (C1105) and Part A process code (C1801, C1804) data elements. Facilities
 with the correct type and  status in HWDMS have their TSD indicator set in the
 Handler! Source Segment.  The HWDMS C303 value is used to set the RCRA status
 indicator in RCRIS.  Again, this  information could  be converted to several records
 in RCRIS. Cleaning up the data once in HWDMS prevents having to fix it several
 times in RCRIS.

 The Part A data in HWDMS is also converted and used in the RCRIS TSD universe
 calculation.   There are two components to the Part  A information, the process code
 (C1801) and the process status (C1804). The process status indicates whether or not
 the existence of the process has been verified.  Approximately 80%  of the Part A
 process codes  in HWDMS are  unverified (C1804=U).  These processes will be
 converted only to the Part A source record and will not be used in the universe
 calculation.  These processes,  if they have been verified, should have the correct
 status in HWDMS to avoid an extensive cleanup effort in post-conversion.
2.2.2  OTHER HANDLER ELEMENTS

The contact name in HWDMS is one data element.  The RCRIS contact information
is contained in three data elements, one for first name, one for last name and one
for title.  The conversion software will take the HWDMS information up to the first
space or comma as the last name.  The next string of characters up to a blank will be
considered the first name.  The remaining information is put into  the title field.
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 Clean up of the HWDMS contact name involves putting the information in  the
 format "last name - blank  space - first name *  blank space - title."  If there is
 additional information such as Jr. or Ms. it should be connected to ensure that the
 data converts cleanly.  For example, John Doe, Jr., Engineer might be edited to read
 Doe-Jr. John Engineer.

 The Contact Address  information  may  additionally  require cleanup after
 conversion.  There is no specific Contact Address in HWDMS.  The conversion
 software prompts the user for the source of the contact address information. The
 user can select that either the Handler Mailing Address or the Handler Location
 Address be used.  Then/ all  handler  contact addresses will be initialized using
 whichever address was chosen. If some contacts are at the location and others are at
 the mailing address, this information  will be set incorrectly for some. This will
 have to be cleaned up after conversion.  Additionally, since the conversion software
 creates two contact records, one of type N and one of type A, the cleanup will have
 to be done for both records.

 Another  general  handler element that may  need cleanup is the SIC code.  The
 conversion of SIC code information from the HWDMS to RCRIS assumes  that the
 first SIC code in HWDMS for a handler is the handler's primary SIC code. The first
 SIC code in HWDMS is set as the primary SIC code in RCRIS. If this is not the case it
 should be corrected.

 A fourth general handler element potentially requiring cleanup is the Offsite Waste
 Receipt element.  The HWDMS Commercial Indicator (C302) and the  RCRIS Offsite
 Waste Receipt indicator values do not have a  one-to-one correspondence. C302 has
 a value of 1 to indicate that some portion of a TSD facility accepts waste for a fee.
This does not  include captive  facilities.   The RCRIS  data  element has several
different values to qualify whether or  not the facility accepts waste  commercially,
and  whether or not it is a captive facility, i.e., accepts waste only from a limited
number of sources.  A value of 1 in C302 will be converted to an A (accepts waste) in
 the RCRIS offsite waste receipt field. Changing C302 prior to conversion may reduce
post conversion cleanup necessary. This data element may also be cleaned up after
conversion.
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 Converted waste codes may also cause a problem in RCRIS. The RCRIS software
 contains a look up table of all the currently regulated, or "listed," waste codes.  This
 lookup table is used by the RCRIS data entry software to ensure that only valid waste
 codes are entered.

 The HWDMS data base, however,  contains waste codes that have been "delisted,"
 that is,  wastes that are no longer regulated. The waste codes are  from notification or
 Part A  forms  that were submitted prior to the waste being delisted.  Although the
 handlers  should resubmit these forms, the information may not be corrected in
 HWDMS.

 The conversion software does not use the lookup table to validate the waste codes
 converted from HWDMS.  This is so that  the data base accurately reflects the form
 submitted by the handler.   However,  the  Handler  ID Module  Add/Update
 Notification/Part A screens will not allow these records to be modified. The delisted
 waste codes converted from HWDMS must be added  to  the lookup table via the
 DBA Module  before these records can be modified.  One of the data assessment
 reports  available with RCRIS will provide a list of all the waste codes in the data
 base which are not in the look up table.
1.2.3  PERMIT/CLOSURE/POST CLOSURE

The HWDMS data  for  permitting  and closure events and processes groups
information by permit header (C2001).  The event  information is located in the
C2100 record.  The process information is located in the C2050 record.  In RCRIS, the
event  information is  grouped  by  permit processing number.   The  process
information is stored separately as process unit group information.  The events are
linked to the unit groups via pointers. Each C2001 header in HWDMS is converted
to a unique permit processing number in  RCRIS.  The events are converted to
RCRIS event numbers using the Event Table in the Conversion Specifications.  Pre-
conversion cleanup of events involves ensuring that the existing headers and
events accurately reflect reality.  If multiple permits  were not intended, the events
in HWDMS should be consolidated under one header.
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 The process codes in the HWDMS C2050 record will be converted to RCRIS in the
 following fashion.  For each header in RCRIS, the process codes will be used to
 create RCRIS  unit groups independent of the process codes under other HWDMS
 headers. Under a HWDMS header, a process code (C2052) can exist with one of three
 indicators (C2051).  The indicator values are R (process requested on a call-in), S
 (process submitted) and C (process covered on final determination).  If a process
 exists with each of the indicator values but the quantity and unit of measure is the
 same, the conversion will create only one unit group in RCRIS.  The unit group will
 be linked to the events under the resulting permit processing number depending on
 the indicator it had in HWDMS. The following table shows the event to which a
 process code is linked, as determined by the header and status.
         Header (C2001)     Status (C2051)     Event (C2101)
P.W.M
P.W.M
P.W.M
C,L
C
L
R
S
C
S
C
C
01
02,06,13
16,20
03,06
10,12
10,14
If the process code under a HWDMS header had different capacities for the different
status codes, a different unit group would be created for each unique capacity and
unit of measure. For example, the following data in HWDMS:
                             C2001

C2051
R
S
C
C2052
080
080
080

C20S3
100
100
100
C2054
G
G
G




C2101
01
02
16

Application called in
Application submitted
Permit issued
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 shows the process code D80 with the same capacity (C2053) and unit of measure

 (C2054) with these different status codes (C2051).  Also under that heading are three

 events.  Because the capacity and UOM are the same, one RCRIS unit group would

 be created with links to all the events, as the following figure shows.
Permit No.
1
Event
010 Application called in
020 Application submitted
200 Permit issued
^_
X
Unit Group
1
Process
D80
Capacity
100
UOlJ
G I
 If, however, the HWDMS data had looked like this,
                              C2001

C2051
R
S
C
C20S2
D80
D80
080
I
C2053
1000
100
100
C2054
G
G
G




C2101
01
02
16

Application called in
Application submitted
Permit issued
where the capacity for the process code with R status is greater than the S and C

capacities, two RCRIS unit groups would be created.  The first would be linked to the

call-in event.  The other would be linked to the application submitted and permit

issued events.
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 The resulting RCRIS data would look like this,
Permit No.
1
Event
010 Application called in
020 Application submitted
200 Permit issued
Unit Group
1
2
Process
D80
D80
Capacity
1000
100
DOM
G
G
 The pre-conversion cleanup implication of this  conversion process  is that the
 capacity and unit of measure information in the  C2050 record  must be carefully
 reviewed for accuracy. If the same unit group was intended for  all events under a
 HWDMS header,  the capacity and unit of measure  information must be identical.

 1.2.4  COMPLIANCE MONITORING & ENFORCEMENT (CM&E)

 The HWDMS CM&E data is hierarchical.  The evaluation information is the key to
 the hierarchy.  Attached to the evaluation record is  the violation information.
 Attached to  the  violation  record is the enforcement  information.  Because an
 enforcement action can address multiple violations attached to multiple evaluation
 records an enforcement action may be entered in HWDMS many times.  RCRIS uses
 a relational structure to allow entering an enforcement action once and linking it to
 ail  the appropriate violations.  The conversion of HWDMS CM&E data to RCRIS
 format attempts to reconcile the differences in the HWDMS and RCRIS structures.

The conversion rules will  consolidate enforcement action records  based on the
 violation classes, enforcement action date, the enforcement type and the responsible
agency.  If, under a particular violation class, there exist multiple enforcement
actions that have  the same date, type and agency,  the conversion software assumes
this is the same action and only creates one RCRIS  enforcement record.  That record
is then linked to all the violations to which it was  attached in HWDMS.  There are
two implications  for cleanup.  First, if the  enforcement action has been entered
inconsistently in  HWDMS,  i.e., the date was not always entered  correctly, the
resulting RCRIS data will have multiple  enforcement actions where there should
have been only one.  Second, if there are  multiple enforcement actions of the same
 type by the  same agency  on the same date, these  will be  converted to one
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 enforcement action in RCRIS.  A careful review and cleanup of the enforcement

 data prior  to conversion will lessen the amount of post conversion cleanup

 required.


 2.2.5 CORRECTIVE ACTION


 The conversion  software for CARS  data will consolidate information  for

 instruments for a handler which have the same Instrument Type, Agency and Date.

 If the implementer has multiple instruments on the same date, these will have to

 be reentered in RCRIS.


 Additionally, the area information for a handler in CARS will be consolidated if two

 areas have the same name.   If different areas were intended, the CARS names

 should be made different or the RCRIS data will have to be cleaned up.


 The release information in CARS is attached to the Instrument Record but in RCRIS

 it is attached to the area record.  This information will have to be reviewed for

 accuracy post conversion.


 CARS events will be consolidated in RCRIS if they have the same event code, actual

 date and schedule date. If they are intended to be separate events, they will have to

 be reentered post conversion.


 2 J DATA CLEANUP TOOLS


To assist in the cleanup of HWDMS data prior to the conversion to RCRIS, several

 reports  have been added to the Report  Access System (RASMENU).   These are

intended to address the areas of major concern, the process codes, and the Part A and

Notification data that affects the universe fields. These reports can be accessed by

running the RASMENU, selecting the OSW RASMENU option, and then selecting

the RCRIS  Data Cleanup Reports  option.  If you have trouble with  RASMENU,

contact your HWDMS DBA.


There are six reports available.
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 Comprehensive Notification, Part A and Part B Data Report—This report shows all
 the general handler information as well as Part A and Part B process codes for a
 particular handler. It lists the C1100 series of notification indicators, C1800 series of
 Part A data, the C2000 Part B/closure information and the C300 data.  A sample of
 the report is in Appendix B.

 Part A/Part B Process Code Comparison Report—This report lists the Part A process
 codes and their status.  Additionally, the Part B process codes are listed. This report
 allows the implementer to ensure that the Part A information is sufficient to obtain
 the desired universe calculation results in RCRIS.   This report is run for all  the
 handlers in a selected state.  A sample of the report is in Appendix B.

 Operating Permit Consistency  Report—This report is identical to the Operating
 Permit Consistency report under the Consistency Report option of  the  OSW
 RASMHNU except this report  is run for a  state, not an entire region.  It lists
 permitting events  that  are potentially  conflicting with other events, such as a permit
 issued before public notice is given.  The errors detected by the report are listed in
 Appendix B along with a sample of the report.

 Closure  Consistency  Report—This report is identical  to  the Closure Consistency
 Report in the OSW RASMENU Consistency Reports option except this report is run
 for a selected state instead of the entire region.  It lists closure activities that  are
 potentially conflicting with  other activities.  The errors  that are detected by  the
report are listed in Appendix B along with a sample page.

 Permit Closure Report—This report  can be used to compare Part A process codes
with Part B activity as well as verify the records for certain key Part B events. The
Part A process codes (C1801) are listed according to their process status (C1804).  All
the header records in the C2000 group are listed followed by  the related Part B
process codes (C2050) and  the key events for that header  (C2100).   This report is
similar to the two audit reports  already described with  three important differences.
First, the Part A process codes are included on this report. Second, all header records
for a facility are listed, not just those with errors. Third, all key events are listed for
a header regardless of whether the event record had errors.
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 Blank and Invalid Values in Core Items—This report shows errors in HVVDMS data
 elements which are converted to RCRIS core data elements.


 The data elements which are checked include:
    C1601    Notification Receipt Date

    C1602    Part A Receipt Date

    C1800    Part A process code

    C2100    Event Codes, Dates, Status and Resp. Agency


 Correcting the problems identified in the  above reports will ensure a smoother

 conversion of HWDMS data.
 2.4 COLLECT NEW INFORMATION REQUIRED BY RCRIS


 While the  HWDMS  and CARS-to-RCRIS conversion provides  most of the data

 required by RCRIS, some additional information that is missing in HWDMS or that

 is not tracked  by HWDMS must be  collected and entered.  Additionally, any

 implementer who  chooses not to convert from HWDMS and CARS will have to

 initialize RCRIS manually.


 To assist with these efforts, a RCRIS Data Element worksheet has been created.  It

 can be found in Appendix E. The worksheet lists all the data elements in the RCRIS

 Handler, PMT,  CM&E and CA modules.  The worksheet contains five columns as

 follows:


   RCRIS Data Element—This column contains the name  of the  RCRIS data

      elements  in the same order as the RCRIS Data Element Dictionary.


   TYPE—This  column gives more information about the data element. There are

      five possible values for this column, M, H, R, C, and I.


      M—indicates that a data element is required  on a data entry screen if any

         information is being entered on that screen.  For example, in the SIC

         (Standard Industry Classification) segment data entry screen, if you want to

         enter any SIC information, you  have to have the SIC  code and the SIC


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         code source but you do not need to enter the SIC Code Description.  The
         type column for SIC Code and SIC Code Source both contain an M.  The
         type column for SIC Code Description does not contain an M because that
         information is not required by the data entry screen.  Note that if you are
         not entering any SIC information this section does not affect you.
      H—indicates that the data element is converted  from HWDMS if HWDMS
         conversion is used.
      R—indicates that  the  data element  is converted  from  CARS if CARS
         conversion is used.
      C—indicates that the data element is a core data element and therefore will be
         transmitted to oversight during the merge process.
      I—indicates that the data element is an implementer-only data element and
         will not be transmitted to oversight.

   SOURCE(S)—This column is for the implementer who is not converting  from
      HWDMS or CARS. It can be used to note where to find the information for
      initializing RCRIS.

   FMT—This column shows the format of  the data element in RCRIS.   An 'A'
      followed by a number  indicates that the data element is  an alphanumeric
      field.  The number is the length of the field. 'A9' is a nine  character field.
      'A40' is a forty character field. The letter I followed by a number indicates that
      the field is an integer.  The number indicates how large the  integer can be.
      MM/DD/YY indicates that  the data element is a date.  A 'D' followed by a
      number indicates that  the  number is  a decimal.  The number after the
      decimal place shows how precise the entered value can be. A 'D14.3' field can
      contain up to 3 decimal places, i.e.,  1274.623.  This column is provided for the
      implementer who will initialize RCRIS manually so  the collected data will be
      in the right format

   NOTES—This column provides additional information on the data element.

This worksheet can be used by implementers who are converting  to RCRIS  from
HWDMS and CARS to note special cleanup instructions.  It can be used by other
implementers to note the source of the various data elements as well  as specific
cleanup instructions.
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                                 SECTION 2



                               CONVERSION


 Because of the large volume of data already in HWDMS and CARS, the design and

 implementation of RCRIS includes the development of  a series of programs to

 convert the existing data into RCRIS format. The conversion is not a one-for-one

 process due to the  differences in the structures involved  but the  conversion

 software attempts to move as much data as possible in a consistent format.  More

 information on  how all data elements are converted may be found in the Technical

 Specifications for the Conversion of HWDMS and CARS Data to the RCRIS Data

 Base.'   The  rules for  conversion  with minimal explanation may be found in

 Appendix C  of this document.  The implementer has certain  options for selecting

 particular subsets of the data for conversion.  Section 2.1  describes those options.

 Section 2.2 describes how to run the conversion software.



 2.1 CONVERSION OPTIONS


 There are separate options for  the conversion of each of the four modules that are

 being  converted.   The four  modules are  Handler (HID), Permitting (PMT),

 Compliance Monitoring & Enforcement (CM&E) and Corrective Action (CA). The

 only options  available for PMT and CA are whether or not to convert information

 from the existing system.  For  PMT, the existing system is HWDMS.  For CA, the

 existing  system is CARS.  If  the State implementer  decides not  to  convert

 information from the existing system, that  portion of the conversion software is not

 selected on the Conversion Menu. The Regional implementer is required to use the

existing system for initializing  the RCRIS  system.  The menu  is discussed in more

detail in section 2.2.
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 2.1.1 HID CONVERSION OPTIONS


 The Handler information is converted from HWDMS.  As with PMT and CA, the

 implementer can decide not to convert any information from HWDMS.  In this

 case, the implementer simply does  not  run the  HID portion of the conversion

 software. If HID conversion is run, there are three  conversion options available:

      •  creation of 5 or E source records,

      •  conversion of core only or core and non-core, and

      -  using the  handler mailing or location address as the source of the contact

         address information. If the facility location address is used set the contact

         address code to L. If the Facility mailing address is used set it to M.



2.2.3.1  Sources = S  or E or Neither


The source segment of the HID module contains information  concerning the

handler acquired from different sources including the Notification form (source =

N), the Part  A form (source » A), State (source =  S) and  Regional (source = E)

information.  The S and E source records allow the  State and Region to augment the

view of  the  handler given in the Notification and Part A based on additional

information without  changing the data actually contained in the N and A records.

The separate records for the State and Region also allow the State and Region to

maintain conflicting information for a handler if the two agencies do not agree on

the exact status of a handler.


The Notification and Part A information is automatically converted from HWDMS

if  any  HID information is  converted. The implementer also has the option of

converting other information to either the S or E record.  Information that converts

to the S or E record is activity information for non-notifiers and Part A process codes

that have been verified by an inspection.


A  handler is  considered to be a non-notifier by the conversion software if both  the

Notification Receipt Date (C1601) and  the Part A Receipt Date (C1602) are blank. If a
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 handler does not have either of these dates but the activity fields (C303, C305, C1101,
 C1102 or C1105) indicate that the handler does something with hazardous waste, the
 conversion software will put the activity information in the S or E source records if
 either the S or E option has been selected. No source = N or A records are created for
 non-notifiers.

 Additionally, if the status of the Part A process codes for a handler indicates that the
 existence of  the process has been verified by an inspection (C1804 = B) or that the
 process was  not reported  on the Part A form but was found to exist as the result of
 an inspection (C1804 = R), that information is converted to the S or E record if either
 of those were chosen as a conversion option.

 The choice for source record is S or E or neither. The State implementer can select
 to have S records created.  The Regional implementer can select  to have E records
 created.   Either implementer can decide not to have records other than N or A
 records  created.  The State and Regional implementers should coordinate their
 action on this conversion option. The S and E records that are created are identical.
 That is,  the  E records created for the Regional implementer data base will be
 identical  to  the S records created for  the State implementer data  base with the
 exception of  the value of source.  If both the State and Region select to have their
 records created, both implementers will have to do the same work to dean up those
 records.   If, however,  one implementer takes responsibility to create and clean up
 the records, the other  implementer will only have to add records where there is a
 discrepancy between the State view and the Regional view of a handler.

 2.1.1,2 HID Core Only versus Core and Non-Core
RCRIS has two types of data elements, core and non-core. Core data elements are
those which are required at the oversight level  for reporting.   Non-core data
elements are those which are in the implementer data base for  the convenience of
the implementer but are not required for oversight  reporting.  These data elements
are gathered and maintained as needed by the implementer. There are six HWDMS
data elements that convert to RCRIS non-core data elements. They are as follows:
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 HWDMS Data Element

 District (C115)
 River Basin (C116)
 Permit Number (C1302)
 Permit Type (C1301)
 Comments (C1001)
 Comment Number (C1002)
   RCRIS Data Element

   Legislative District
   River Basin
   Permit Number
   Permit Type
   Comments
   Comment Sequence Number
 Since these elements are not required for oversight reporting, they do not need to be
 initialized during the conversion.  Not converting the data could lessen the amount
 of data cleanup required of the implementer if the information is not required for
 reporting at the implementer level. Additionally, the State and Region could
 coordinate the conversion of this data so that only one implementer converted and
 cleaned up the non-core data and then shared the information with the other
 implementer through the merge process.

 The conversion  software prompts the user to  select  either HID core only data
 elements or HID core and non-core.  If the user selects core only, the above six
 elements are not converted.  If the user selects core and non-core, the above six
 elements are converted in addition to the core HID elements.

 2.2.1.3 HID  Contact Address  Information

 The last option for HID conversion is the handler contact address information. In
 HWDMS, the contact information is limited to a single field containing the name of
 the contact.  RCRIS has contact address information in addition to the contact name.
The conversion software will initialize the contact address information either using
 the handler location address in HWDMS or  the handler mailing address in
HWDMS. The choice for this option is either M for mailing address or L for
 location address.
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 2.22 PMT Conversion Options


 The only  conversion option for permitting information is  whether or not  to

 convert any permitting information from HWDMS.  If the implementer decides not

 to  use HWDMS as the  source  of  the PMT  data, that section of the conversion

 software is not run.
 2.23 CM&E Conversion Options


 The CM&E information is converted from HWDMS.  As with HID and PMT, the

 implementer has the option of using a non-HWDMS source for initializing the

 CM&E portion of RCRIS.  In this case, the implementer does not run the CM&E

 portion of the conversion  software.  If the implementer decides  to  convert

 information from HWDMS, there are six conversion options to choose.  They are:

       -  To convert the core only or core and non-core data elements,

       -  To specify which classes of violation will be converted,

       -  To determine the earliest date for converting all data,

       -  To determine the earliest date for converting unfinished business,

       -  To decide whether to convert information for all generators  or  only

         information for those with land ban violations,

       -  To decide whether to convert information for transporters.


 The conversion options must be negotiated between the Region and the State.  The

 agreed upon options will be used for both conversion runs. If for some reason, the

 selections for both conversion runs are different, one of the following scenarios will

 need to take place:

   1.   If the original snapshot still exists and the  options selected for  the two

        Implemented conversion runs are different, conversion should be re-run

        for the conversion that used the wrong selection options, using the existing

        snapshot
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    2.   If the original snapshot does not exist and the options selected  for two
        Implementers; conversion runs are different, both Implementers will need
        to run the conversion software using a new snapshot.

 If the two Implementers do not use the same conversion options on the same
 snapshot of  the data, problems may arise in RCRIS.  There are two  possible
 problems.  First, the same sequence number  could potentially be generated for
 different records.  Second, different sequence numbers could be generated for the
 same records. Either of these possibilities will cause the RCRIS CM&E data to merge
 incorrectly.

 2.1 J.I CM&E Core versus Core  and Non-core

 As with the HID conversion option of the same name, there are certain CM&E data
 elements that are not considered critical elements for oversight reporting and
 therefore do not need to be initialized in RCRIS. The implementer may be using
 the data elements for agency specific reasons however and may wish to have the
 information converted from HWDMS to RCRIS. The non-core elements are:
   HWDMS Data Element

      Eval Resp. Person(C2315)
      Enf. Resp. Person (C2364)
      Enf. Comment (C2363)
      Enf. Comment (C2363)
      Violation Comment (C2342)
      Eval. Comment (C2322)
RCRIS Data Element

Eval Resp. Person (CE.PERSON)
Enf.Resp.Person (CEE_RESPJ»ER)
Enf.Comment 1 (CEE.COMMENT)
Enf.Comment 2 (CEE.COM2)
Viol. Comment (CEV.COMMENT)
Summary Comment (TX_LINE)
The implementer can choose to convert these data elements in addition to the core
elements or to convert only the core elements.
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 2.2.3.2 CM6-E Violation Class

 The seriousness of CM&E  violations  are indicated by the  violation class.  In
 HWDMS, violations are divided into  Class 1, Class 2 and Class 3 with Class 1
 violations being the most serious.  Class 1 violations are required to be reported at
 the oversight level.  Class 2 and 3 violations are not required to be reported at

 oversight. They are used to indicate violations of concern to the implementer.


 Because Class 1  violations are required  at oversight, the conversion software

 automatically converts all Class 1 violations.  The implementer also has the option

 of converting Class 2 violations or Class 2 and 3 violations in addition to Class 1

 violations.  The conversion software prompts the user to select which classes of

 violations are to be converted.  The State and Region must select the same classes of

 violations to convert.



 2.2.33 CM&E 'TSDS' Start Date


 Because of the length of time during which HWDMS has been in use, there is a

 large amount of data concerning evaluations, related  violations and enforcement

 actions addressing those violations. This  information in the HWDMS hierarchical

 structure is referred to as CM&E 'data  trees.'  In RCRIS, the structure is relational.

 The conversion process is not precise since the structure of RCRIS is very different

 than the structure of HWDMS.  As a result, the converted data will require review

 and cleanup.


 At the oversight level, it was determined that, at a  minimum, information  for all

 generators with Land Ban violations and all TSDs with any violations was necessary

 from the beginning of fiscal year 1988.  FY88 began on October 1, 1987.  All CM&E

 data trees with an evaluation date from 10/1/87 on, both for generators with Land

 Ban violations and for all TSDs, will automatically be converted.  The implementer

 can optionally choose to convert data prior  to  that date when prompted by the

 conversion software.  The State and Region must select the same 'All Business' start

 date.
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 2.2.3.4 CM&E  'Unfinished Business' Start Date


 CM&E begins with an evaluation of a handler.  As a result  of the evaluation,

 violations may be uncovered.  These violations result in enforcement actions being
 taken.  Finally, a handler corrects  the violation and returns to compliance. The
 progression from  evaluation to violation  to  enforcement action  to  return  to

 compliance  constitutes 'finished business.'  'Unfinished business' is any CM&E data

 tree that does not complete this cycle.


 Reporting of unfinished business has a slightly higher importance at the oversight

 level  than reporting of finished business.  For this  reason, the conversion software

 uses  a  separate  date for  determining which unfinished business  data  trees to

 convert.  The conversion software defines unfinished business as:


   -  evaluations with no violation records (of the violation classes selected  for

      conversion by the implementer);

   -  evaluations with  violation records (of the violation classes selected  for

      conversion) but no enforcement actions; and

   -  evaluations with  violation records (of the violation classes selected  for

      conversion)  and enforcement actions but  no return to compliance date

      (C2357) in  the most recent enforcement record for every area addressed by  the

      action.


The default  date for unfinished business is the beginning of fiscal year 1987, which is

October I, 1986.  The conversion software at a minimum will convert all unfinished

business from this date forward.  The implementer can choose to select an earlier

date for converting unfinished business by entering a date earlier than  10/1/86

when prompted by the conversion software. The State and Region must select  the

same  date.
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 2.13.5 CM&E Generator Data


 The conversion software automatically converts CM&E information for generators
 who have Land Ban violations according to the implementer's conversion option
 choices. Oversight reporting does not require information for any other generators
 be converted.   However, the implementer can select- to have information for all

 generators converted  if this is of value.  The amount of CM&E data converted is

 dependent on the other CM&E conversion options selected.



 2.1.3.6 CM&E Transporter Data


 The conversion software also has the option of converting data for transporters.

 This is not required by oversight but has  been included for those implementers who

 wish to retain the information  that has  been entered into HWDMS. The CM&E

 data trees converted depend  on the selection for the previous CM&E conversion

 options.



 2.2.4  CA Conversion Options


 The only conversion option for corrective action information is whether or not to

 convert any corrective action  information from CARS.  If the implementer decides

 not to use CARS as the source of the  CA  data, that section of the conversion

 software is not run.
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2.2
CONVERSION OF CARS AND HWDMS TO RCRIS
RCRIS computer programs were developed to guide Regional Data Base
Administrators (RDBA) through the conversion process.  The conversion process takes
a  snapshot of the current HWDMS data base, extracts  selected  information from
HWDMS and CARS, loads the data on to the mainframe in RCRIS structured files,
checks the  integrity of the converted data, and transfers the selected information to
the Regional Logical Mainframe (LMF).   All the converted data is in RCRIS  format
and available for use in RCRIS.


Following conversion,  implementers can  evaluate the converted  data.   Implementers
may then  elect to make changes to the  HWDMS  or  CARS data bases,  rerun the
conversion process, and reevaluate the new convened data.

Contact RCRIS  User  Support at  1-800-767-RCRI  for  access to the Conversion
programs.
2.2.1
INSTRUCTIONS FOR CHECKING JOB COMPLETIONS
Several JES batch jobs are submitted throughout the conversion process. It is imperative
that the output of these jobs be checked for zero completion codes.  Not only should
the ending completion code be checked, but each and every individual step within the
job should also be checked for zero completion codes.

One of the suggested methods of accomplishing this can be found in the  NCC User's
Guide:  the SDSF utility.   Essentially,  this facility is  an SPF compatible editing
program which allows browsing of the held job's output.

Once  the desired job has been selected, the locate sub-command can be  used to find
the "COMP CODE" key  words.

All of these jobs should be printed and stored for possible future reference.

If any completion codes other the zero are located, the RCRIS  User Support Hotline
should be contacted for assistance.
2.2.2
PRE-CONVERSION INSTRUCTIONS
The Implementer should complete the HWDMS/CARS to RCRIS Conversion
Checklist located in Appendix A of the System Startup Guide.  After completing the
Checklist, make a copy for your records and file it.  Send the original checklist to the
Regional DBA.

23          HID, PERMITTING, CME CONVERSION

The conversion main menu provides seven selections including:  HID, CME and PMT
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HWDMS Extracts; CA CARS Extracts; First Time Initialization BDT; Reconversion
Transfer Functions; HID, CME, PMT RCRIS Load; and CA RCRIS Load.

Note that throughout section 2.2,  user input is shown enclosed in < >.  Do not type
in the < > symbols.  For example, if the instructions say type , type just the letter.
When you first start the conversion software you will see the following menu.
                U.S.
                           R C R I S
                     ENVIRONMENTAL PROTECTION AGENCY
                                          OATS:  08/14/89
                                          TIME:  18:08:09
                HWDMS AMD CARS TO RCRIS CONVERSION
                           MAIN MEND
       1.  SNAPSHOT, HID, CHE AMD PMT HWDMS EXTRACTS (HP ONLY)
       2.  CA CARS EXTRACT
       3.  BID, CUE AND PMT RCRIS LOADS
       4.  CA RCRIS LOAD
       5.  RUN EDITOR
       6.  FIRST TIME INITIALIZATION BDT
       7.  FIRST TIME INITIALIZATION BDT
       8.  RECONVERSION TRANSFER FUNCTIONS
       9.  EXIT CONVERSION MAIN MENU
     »» ENTER CHOICE:

Although all these options are part of the conversion software, not all of them are
applicable to each of the  three implementer platforms. The snapshot and Extract
from HWDMS can only be done on the mainframe since that is where the HWDMS
data resides. Likewise, the CARS extract is done on the mainframe. The BDT/Copy
function is used on the mainframe to: 1) copy the extracted files either to another user
account if the Implementer RCRIS data base will reside  on the main  frame, or 2) to
a regional LMF if the Implementer RCRIS  data base resides on the LMF or PC.


Each of these options is described below.


2.3.1         HWDMS TO RCRIS CONVERSION MENU


Select SNAPSHOT AND  HID, CME AND PMT HWDMS EXTRACTS (MF ONLY)
from the main  menu  and press .  This  will  bring up the HWDMS TO
RCRIS CONVERSION selection menu. There are four selections available from this
menu.
Each type of data has its  own selection. This is  done so that a specific part of or all
of the HWDMS data base may be converted.
2J.1.1
Snapshot of HWDMS Database
Snapshot is the first step in the Conversion process.  The Snapshot function makes a
copy of or "freezes" the latest HWDMS data base for the selected State or
Region.  The extracts are taken from the snapshot of the data.  In this way, the
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conversion can be run for both implenienters at different times if necessary while
using data from the same point in time.  Additionally, if the conversion options
need to be changed and the conversion is rerun, it can be done on the same data used
previously.  To run the snapshot function select Snapshot by typing  from the
HWDMS TO RCRIS CONVERSION menu and press .

This Snapshot should be run on a date set by agreement in advance between the
Regional  DBA and each implementer.  The Region and State must use the same
version of the data so that the reconciliation and merge processes will work.

Once you  select snapshot from the HWDMS TO RCRIS CONVERSION menu, you
will see the following prompts.  The only way to abort the routine during the prompts
is to press the  key (MF Terminals) or equivalent (other types of
equipment).  This will take you to a TSO READY prompt.
1.
2.
3.
4.
5.
      THIS  ROUTINE  IS  TO  EXECUTE  SNAPSHOT  OF  HWDMS
      DATABASE
      ENTER OUTPUT  DESTINATION (DEFAULT IS RMT255):

      Enter the code for the device where you want the job output sent.
      Consult your System  Administrator or  User Support staff for the
      appropriate codes.  The default is different for each location.  The job
      output is the JCL for the snapshot  If the condition code for the job is
      0000, the job completed successfully.

      ENTER BIN NUMBER:

      Enter the code specifying where the computer operator is to deliver audit
      reports.  Consult your System Administrator or  User Support staff for the
      appropriate code.

      ENTER FIMAS ID:

      Financial Information  Management Accounting  System  identification
      number.  Contact your system administrator for a FIMAS id.

      ENTER REGION  (01-10):

      Enter the number identifying the HWDMS data base for the Region the
      system should use for the  snapshot, i.e. 04  for Region IV.

      ENTER STATE CODE:

      Enter the two character State code identifying the State implementer data
      the system should  use for  the snapshot.  i.e.  for Kentucky.
6.
USER ID:
xxxx
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      OUTPUT DESTINATION:
      BIN NUMBER:
      ACCOUNT NUMBER:
      FIMAS ID:
      REGION:
      STATE CODE:
      JULIAN DATE:
      IS THIS THE CORRECT INFORMATION? (Y/N)
      NOTE: ENTER N TO RESTART THE SELECTION
                          XXX
                          XXX
                          xxxx
                          XXX
                          XX
                          XX
                          xxxxxx
                          X
                          XXX
The system shows you the choices you have made for your confirmation.
The X's in the above example will be replaced with your selections. Note that
the Julian date is also displayed.  This has been calculated by the system.  You
do not have to verify its accuracy. Before going on any further, check all the fields
for correct information.  The system will not check this for you until after the
job is submitted.

      Enter  if the  information displayed is correct.  Enter  to restart the
      selection process and change any of the information.

7.    READY TO SUBMIT THIS JOB (Y/N)?
      * IF NOT, PLEASE ENTER N TO GO BACK TO THE MAIN MENU:

      Enter  to submit  the job or   to cancel the job  and return to the
      previous selection menu.

8.    WRITE DOWN YOUR JOB NAME AND NUMBER:

      You will need this information later if you need to track the progress of the job.
      The number is located on the job card in parenthesis immediately following the
      job name.   The job number starts with your user id followed by the  two
      character state code and ending with two letters. Write down the job name and
      number and press  .  Any JCL errors discovered would be displayed
      at this time.

9.    DO YOU WISH TO SUBMIT ANOTHER CONVERSION JOB?:

Enter  to return to the HWDMS TO RCRIS CONVERSION menu. Enter
 to return  to the main menu.


The job is now in background processing and the snapshot of the HWDMS data base
is being  made.  You may follow the progress  of your job from the SDSF input and
output queues.  Once the job has completed successfully an extract may then be
performed from the snapshot.   The output from the snapshot is the  JCL job stream
for the batch job.  If the condition codes is 0000, the job completed successfully.  If
the job  did not complete  successfully, you  should call RCRIS  user support for
assistance.
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For additional information regarding the conversion process please refer to the
RCRIS Conversion Technical Specifications document.

2.3.1.2 Handler ID Conversion Extract

The Handler ID data extract is run only after the HWDMS snapshot job has
successfully completed. It is run once for each Implementer because the resulting
data is different for the Region and State.

Once the job that makes a snapshot of the HWDMS data base has successfully
completed, you may begin extracting the data. Select SNAPSHOT AND HID, CME
AND PMT HWDMS EXTRACTS  (MF ONLY) from the main menu and press
. To extract the Handler identification data select  Handler ID Conversion
by typing  from the HWDMS  TO RCRIS CONVERSION menu  and press
.  The only way to abort the routine during the prompts is to press the
 key (mainframe terminals) or equivalent (other types  of equipment).   This
will take you to the TSO  READY  prompt.
You will see the following prompts:
1 .
      THIS ROUTINE IS TO EXECUTE THE CONVERSION OF HANDLER DATA
      ENTER OUTPUT DESTINATION (DEFAULT IS RMT255):
2.
3.
4.
           the code for the device where you want audit reports sent. Consult your
      System Administrator or User Support staff for the appropriate codes.  The
      default is different for each  location.

      ENTER BIN NUMBER:

      Enter the code  specifying where the computer operator is to deliver the audit
      reports.

      ENTER FIMAS ID:

      Financial Information Management Accounting System identification number.
      Contact your system  administrator for a FIMAS id.

      ENTER S OR R TO INDICATE STATE OR REGION DATABASE:

      Enter the code indicating State  or Regional  data base.

      You must specify State or Region here because handler data is not  shared with
      EPA and State.  By selecting State or Region, you set whether source  S or E
      record will be created based on your answer to prompt 7 below. In the other
      module  to be extracted, Permitting and CM&E  is unnecessary because the
      Region and State records are identical.
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5.     ENTER STATE CODE:

      Enter the two character State code identifying the implementer data the system
      should  use for the extraction. i.e.  for Kentucky.

6.     ENTER CORE/NON-CORE INDICTOR
      (CORE AND NON-CORE = Y, CORE ONLY = N) :

      Enter  if only HWDMS  elements corresponding to RCRIS core  data
      elements should be converted.  Enter  if both elements corresponding to
      RCRIS core and non-core data  elements should be converted. Refer to section
      2.1.1.2  for more information.

7.     SELECT INSPECTION SOURCE
      S  CREATE STATE INSPECTION SOURCE RECORDS
      E  CREATE EPA (REGIONAL) INSPECTION SOURCE RECORDS
          (LEAVE BLANK TO GENERATE NO INSPECTION RECORDS)

      CHOICE:

      If S was selected in #4 above then the entry for this prompt must be an 
      or blank.  If R was selected in #4 above then the entry for this prompt must
      be  or blank.  Refer to section 2.1.1.1  for more information.

8.     ENTER CONTACT ADDRESS DEFAULT CODE
      (L = LOCATION, M = MAILING):

      Enter an  if the location address for the Handler should be used as the
      contact address in RCRIS. Enter an  if the mailing address for the Handler
      should be used.  RCRIS will use the selected address when generating reports,
      notices, etc.  The most accurate address should be used. Refer to section 2.1.1.3
      for more information.

9.     USER ID:                                     XXXX
      OUTPUT DESTINATION:                       XXX
      BIN NUMBER;                                X
      ACCOUNT  NUMBER:                          XX
      FIMAS ED:                                    XXX
      STATE CODE:                                 X
      STATE OR  REGION:                           XXXX
      SOURCE CODE:                               X
      CORE/NON-CORE:                             XX
      CONTACT  ADDRESS:                          XXXX
      IS THIS THE CORRECT INFORMATION? (Y/N)    XXX
      ENTER N TO RESTART THE SELECTION:         XXX


System Startup Guide              2-15

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      The system show you the choice you have made and requests your confirmation.
      The X's in the above sample will be replaced with your selection.  Before going
      on, double  check all the fields for correct information.  The system will not
      check this for you until after the job is submitted.
      Enter  if the  selection information is correct.
      selection process.
                 Enter  to restart the
10.   READY TO SUBMIT THIS JOB (Y/N)?
      * IF NOT, PLEASE ENTER N TO GO BACK TO THE MAIN MENU:

      Enter   to  submit the job or    to cancel the job and return  to the
      previous selection menu.

11. WRITE DOWN YOUR JOB NAME AND NUMBER:

      You will need this information later to track the progress of your job. The job
      number is located on the job card in parenthesis immediately following the job
      name.  The job number starts with your user id followed by the two character
      state code and ending with two letters.  Write down the job name and number
      and press . Any JCL errors discovered would be  displayed  at this
      time.
12. DO YOU WISH TO SUBMIT ANOTHER CONVERSION JOB?:

      Enter  to return to the HWDMS TO RCRIS CONVERSION menu.
       to return to the conversion main menu.
                                   Enter
Once the batch job is successfully completed the data files and audit reports are
created.  The data files are now ready for loading so that the editor may be run.
"Editor" is discussed later  in this chapter.

2.3.1.3 Permitting/Closure/Post-Closure Conversion Extract

The extract files for the Permitting Module are the same for the Region and State
data bases.  This step only needs to be run once to create the files. Those files can
then be moved by the Bulk Data Transfer function to the final  destinations for both
the Region  and State.

Select SNAPSHOT AND HID, CME AND PMT HWDMS EXTRACTS (MF ONLY)
from the main menu and press .  By following steps similar to Handler
extract you  can extract Permitting data. Select Permitting Conversion by typing 

from the HWDMS TO RCRIS CONVERSION menu and press . You will
see the prompts as shown  below.  The only way to abort the routine during the
prompts is to press the  key (mainframe terminals) or equivalent (other types
of equipment).  This will take you to the TSO READY prompt.
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      THIS ROUTINE IS TO EXECUTE THE CONVERSION OF PERMITTING
      DATA
      ENTER OUTPUT DESTINATION (DEFAULT IS RMT255):

      Enter the code for the device where you want audit reports sent. Consult your
      System  Administrator or User Support staff for the appropriate code.  The
      default is different for each location.
      ENTER BIN NUMBER:

      Enter the code specifying where the computer operator is to deliver the audit
      reports.

      ENTER FIMAS ID:

      Financial Information Management Accounting System identification number.
      Contact your system administrator for a FIMAS id.

      ENTER STATE CODE:

      Enter the two character State code identifying the data the system should use
      for this  transaction,  i.e.  for Kentucky.
      USER ID:
      OUTPUT DESTINATION:
      BIN NUMBER:
      ACCOUNT NUMBER:
      FIMAS ID:
      STATE CODE:
      IS THIS THE CORRECT INFORMATION? (Y/N)
      ENTER N TO RESTART THE SELECTION :
                   XXXXXXXX
                   XXXX
                   XXX
                   xxxxxxxxx
                   XXX
                   XX
                   X
                   X
      Enter  if the selection information  is correct.  Enter  to restart the
      selection process.  Before going on, double check all the fields for correct
      information.   The  system will not check this for you until after the job is
      submitted.

      READY TO SUBMIT THIS JOB (Y/N)?
      * IF NOT, PLEASE ENTER N TO GO BACK TO THE MAIN MENU:

      Enter   to submit the job or   to cancel the job and return  to the
      previous selection menu.

      WRITE DOWN YOUR JOB NAME AND NUMBER:
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      You will need this information later to track the progress of the job. The job
      number is located on the job card in parenthesis immediately following the job
      name. The job number starts with your user id followed by the two character
      state code and ending with one letter.  Write down the job name and number
      and press .  Any JCL errors discovered are displayed at this time.
8.     DO YOU WISH TO SUBMIT ANOTHER CONVERSION JOB?:

      Enter  to return to the HWDMS TO RCRIS CONVERSION menu.
       to return to the conversion main menu.
                                  Enter
Once the batch job is successfully completed the data files and audit reports are
created.  The data files are now ready for loading so that the editor may be run.
"Editor" is discussed later in this chapter.

2.3.1.4 Compliance Conversion Extract

The files created by the CM&E extract procedure are the same for Region and State
because  the CM&E conversion requires that the Region and  State use the same
conversion options. For this reason, the CM&E  extract is run only once. The
resulting files are then moved  to their final destinations by running the Bulk Data
Transfer/Copy procedure once  for each Implementer's destination.
Select SNAPSHOT AND HID, CME AND PMT  HWDMS EXTRACTS (MF ONLY)
from the main menu and press . Compliance conversion operates as
Handler and Permitting, but with some added steps. Select Compliance Conversion
by typing  from the HWDMS TO RCRIS CONVERSION menu and press
.  You will see the  prompts as shown  below.  The only way to abort the
routine during the prompts is to press  the  key (mainframe terminals) or
equivalent (other types of equipment).  This will take you to the TSO READY
prompt.

1.     THIS ROUTINE IS TO EXECUTE THE  CM AND E CONVERSION DATA
      ENTER OUTPUT DESTINATION (DEFAULT IS RMT255):

      Enter the code for the device where you want audit reports sent.  Consult your
      System  Administrator or User Support staff for the  appropriate  code.   The
      default is different for each location.

2.     ENTER BIN NUMBER:

      Enter the  code specifying where the computer operator is to deliver audit
      reports.

3.     ENTER FIMAS ID:

      The  Financial  Information  Management Accounting System  identification
      number.  Contact your  system administrator for a FIMAS id.
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      ENTER STATE CODE:

      Enter the two character State code identifying the implementer data the system
      should use for the extraction. i.e.  for Kentucky.

      SELECT CLASS(ES) OF VIOLATION DATA YOU WISH TO CONVERT

      1-CLASS 1
      2-CLASS 1-2
      3-CLASS 1-3

      CHOICE:

      Enter <1> for Class 1 violations, Enter <2> for Class 1 and 2 violations, Enter
      <3> for Class  1, 2,  and 3 violations. Refer to  section 2.1.3.2 for more
      information.

      ENTER CORE/NON-CORE INDICATOR:

      Enter  if only HWDMS elements corresponding to RCRIS  core data
      elements should be converted. Enter  if elements corresponding to RCRIS
      core and non-core data should be converted. Refer to section 2.1.3.1 for more
      information.

      ENTER START DATE FOR TSDS (DEFAULT 100187)
      FORMAT IS  MMDDYY:

      Enter the date you want the system to begin searching for TSD facility data to
      convert. Date must be entered MMDDYY. The default date is 10/01/87. The
      date you use can be no later than the  default date, but can be earlier. Refer to
      section 2.1.3.3 for more information.

      ENTER START DATE FOR UNFINISHED BUSINESS
      FORMAT IS  MMDDYY  (DEFAULT IS 100186)

      Enter the date you want the system to begin searching for facilities that have
      not completed all activities for compliance.  Date  must be entered MMDDYY.
      The default date is 10/01/86.  The date you use can be no later than the default
      date, but can be earlier.  Also, the start date for unfinished business cannot be
      later than the start date for all  business.  Refer to  section 2.1.3.4 for more
      information.

      DO YOU WISH TO SELECT ALL GENERATORS?:
      WARNING:  SELECTING ALL GENERATORS IS EXPENSIVE AND CPU
      INTENSIVE!
      (N WILL SELECT LAND BAN ONLY) Y OR N:
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      Enter  to select all generators.  Enter  to select only generators with
      Land Ban violations.  Selecting all generators will significantly increase the
      number of records converted thereby increasing the CPU time and cost for this
      job.  For example, in one pilot state,  when response  Y was selected for this
      prompt and the following prompt for transporters, the total number of CM&E
      records converted was  12801.   The total number of CM&E records converted
      when only Land Ban generator and TSD were converts was 3645. The cost for
      the  larger run was $1,987.  The cost for the smaller run would have been
      approximately $600. Careful consideration should be given before selecting all
      generators for conversion.  See Section 2.1,3.5 for more information.

10.    DO YOU WISH TO SELECT TRANSPORTERS? (Y/N):
      WARNING: SELECTING ALL TRANSPORTERS IS EXPENSIVE AND CPU
      INTENSIVE!

      Enter  to convert  records of all transporters. Enter  to not convert
      transporter records. Selecting all transporters will significantly increase the CPU
      time and cost for this  job. See the discussion above under Selection  9 and
      Section 2.1.3.6 for more information.

11. USER  ID:                                         XXXXX
      OUTPUT DESTINATION:                        XXXX
      BIN NUMBER:                                  XX
      ACCOUNT NUMBER:                           XXXXXX
      FIMAS ID:                                      XXX
      STATE CODE:                                  XX
      CLASS:                                        XXXXX
      CORE/NON-CORE:                              X
      TSDS START DATE:                             XXXX
      TSDS END DATE:                              XX
      UNFI START DATE:                             XXX
      UNFI END DATE:                               XXXXXX
      GENERATORS SELECTED:                       XXX
      TRANSPORTERS SELECTED:                    XXX
      IS THIS THE CORRECT INFORMATION? (Y/N)    X
      ENTER N TO RESTART THE SELECTION :        XXX

      The system shows the selections you have made and requests confirmation.
      Note that an  'END' date is  given for both all business (TSD  start) and
      unfinished business. The  software automatically uses the current date for the
      end date for all business.  This cannot be changed.   The software also
      automatically uses the day prior to the TSD start date  as the end date for
      unfinished business.  Since all business includes unfinished business within the
      selected time frame, the software looks specifically for unfinished business only
      during the time between unfinished start date and the day before the TSD start
      date.
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      Before going on,  double check all  the fields for coirect information.  The
      system will not check this for you until after the job is submitted.

      Enter  if the  selection information is correct.  Enter  to restart the
      selection process.

12. THIS ROUTINE IS TO EXECUTE CM & E JOBS ONLY
       READY TO SUBMIT THIS JOB (Y/N)?
       * IF NOT, PLEASE ENTER N TO GO BACK TO THE MAIN MENU:

      Enter  to submit the job or  to  cancel the job and return to the
      previous selection  menu.

13. WRITE DOWN YOUR JOB NAME AND NUMBER:

      You will need this information later to track the progress of  the job.  The job
      number is located  on the job card in parenthesis immediately  following the job
      name.  The job number starts with your user id followed by  the two character
      state code and ending with two letters.  Write down the job name and number
      and  press .  Any JCL errors discovered are displayed at this time.

14. DO YOU WISH TO  SUBMIT ANOTHER CONVERSION JOB?:

      Enter  to return to the HWDMS to RCRIS CONVERSION menu.  Enter
       to return to the main menu.

Once the batch job is successfully completed the data files and audit reports are
created.  The data files are now ready for loading so that the editor may be run.
"Editor" is discussed later in this chapter.

2.3.1.5 HWDMS  Conversion Output

The HWDMS conversion extract programs produce the following output:

Extract files - These files contain the HWDMS data that has been  extracted and
converted to RCRIS format.  These files are transferred or copied with the
BDT/Copy function of the conversion menu and used by the load function to
initialize the RCRIS implementer data base.  The format and names of these files is
documented in Section 3.2 of the Technical Specifications for Conversion of
HWDMS and CARS data to the RCRIS Data Base.

Error files — These files  are created during the extract process.  They contain those
records which were not able to convert to RCRIS format.  These files are used by the
conversion error reports which are described below.

Conversion Summary Reports - These are summary reports which describe  overall
System Startup Guide
2-21

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how well the HWDMS conversion process worked.  There is one conversion report
for each module - Handler ID, Permitting and CM&E.  Each report is described
below.


Conversion Error Reports - These reports use the error files created during the
extract process and report on the problems encountered. More information
concerning these reports will be included in this document as it becomes available.
The files that are created reside in the user account which was used to run the
conversion menu.  The reports are sent to the output destination  specified when the
menu was run.

Handler ID Conversion Summary Report - The Handler ID  conversion Summary
Report begins with a list of the conversion options selected and the number of
handler records in HWDMS for the state.  The following pages of  the report show
the number of HWDMS records read for each extract file and the number  of
converted records written to the extract files.  If there were any records which the
conversion software considered duplicates, they are written to the error files.  The
number of duplicates found is also listed.

Permitting Conversion Summary Reports  -- The Permitting Conversion Summary
begins with a count of the number of facilities for which any permitting data  was
found in HWDMS (C2000, C2100 and C2050 records).  The next page lists  the extract
and error files written by the program.  The third page  shows the state for which the
conversion was run and the number of records read from HWDMS and written to
the extract files.  If any of the HWDMS records were  considered duplicates by the
software, they are written to the error files and the number of duplicate records is also
listed.   The remaining pages of the report list records which were not converted to
the RCRIS format.

2.3.2   CA CARS EXTRACT

Prior to executing your CA CARS Extract make sure the Regional CARS implementer
database has been moved to the NCC 3090 computer.  The procedure for performing
this move is documented separate from this guide and provided to Regional Database
Administrators.


Select CA CARS  Extract form the  HWDMS and CARS to RCRIS Main  Menu  and
press .


       ENTER REGION (01-10):


       Enter the two digit Region code for the database to  be used  for this  extract.
       i.e. 04 for Region IV.

       ENTER STATE CODE:
System Startup Guide
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•                    Enter the two character State code identifying the data the system should use
                      for this extract,  i.e.  for Kentucky.
|                    IS THIS OK? (Y OR N):
_                    Indicate if the displayed information for this extract is correct.
•                    DO YOU WISH TO CONTINUE (Y/N):
I                    Enter  to continue or  to return to the main menu.
                2.3.3  HID, CME, AND PMT RCRIS LOADS MENU
I              Once extracted, the data is  loaded onto the mainframe.  This is  the next step in the
                conversion process and must be done prior to running the editor function.
|              2.3.3.1 RCRIS Load
I                To load the data select HID, CME, AND PMT RCRIS LOADS  from the main menu
                and press .
                The following menu is displayed.
•              The menu  gives three options for loading HWDMS extract files.
                To load the handler data select Load Handler Data from the HWDMS TO RCRIS
_              LOAD menu and  press . You will see the following prompts:
                1.     ENTER S or R to indicate State or Region data base:
I                    Enter an  if the  data to be coded is State data or an   if the data to be
*                    coded is Regional data.
•              2.     ENTER STATE CODE:
                      Enter the two character State code identifying the  data the system should use
I                    for  this activity,  i.e.  for Kentucky.
                3.     IS THIS OK? (Y,N) :
•                    Enter  a  if the selection  information is  correct.  Enter an  if not
                      correct.  Entering  will restart the  selection process.
I              4.     WARNING: SUBMITTING THIS LOAD JOB WILL REPLACE EXISTING
                      DATA.  DO YOU WISH TO CONTINUE WITH  THIS  LOAD JOB? (Y/N):
I                    A  "" response  will  submit the  load job and replace old data.   A "N"
                      response will cancel the job and take you back to the CONVERSION HWDMS
•                    TO RCRIS LOAD  PROGRAMS menu.
                System Startup Guide               2-23


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5.    ENTER the box number to Route output listings to (4 char)?:

6.    ENTER the remote to send your output to (R### or N## R###)?:

7.    ENTER the number of copies to print (1-9, enter key=l):

8.    Is the above information correct (Y/N)?:

To load  the Permitting or CM&E data onto the mainframe database, select Load
Permitting Data or Load CME Data respectively.  These two functions have the same
set of prompts which are given below.

1.    ENTER S or R to indicate state or Region Database

2.    ENTER STATE CODE:

      Enter the two character State code identifying the data the system should use
      for this activity.  i.e.  for Kentucky.

3.    IS THIS OK? (Y,N) :

      Enter a   if the selection information is correct.  Enter an  if not
      correct. Entering  will restart the selection process.

4.    WARNING: SUBMITTING THIS LOAD JOB WILL  REPLACE EXISTING
      DATA. DO YOU WISH  TO CONTINUE WITH THIS LOAD JOB? (Y/N):

      A ""  response will submit the load job and replace old  data.   A 
      response will cancel the job and take you back to the CONVERSION HWDMS
      TO RCRIS LOAD PROGRAMS menu.

5.    ENTER the box number to Route output listings to (4  char)?:

6.    ENTER the remote to send your output to (R### or N## R###)?:

7.    ENTER the number of copies to print (1-9, enter key=l):

8.    Is the above information correct (Y/N)?:

23.4  CA RCRIS LOAD


To load  the Corrective Action data onto  the mainframe database, select CA RCRIS
LOAD.

1.    ENTER REGION CODE (01-10)  :
System Startup Guide
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I             2.    ENTER S OR R TO INDICATE STATE OR REGION DATABASE :
m             3.    ENTER STATE CODE:
                     Enter the two character State code identifying the data the system should use
_                   for this activity. i.e.  for Kentucky.
B             4.    IS THIS OK? (Y/N) :
I                   Enter a  if the selection information  is correct.  Enter an   if not
™                   correct. Entering  will restart the selection process.
               15.    WARNING: SUBMITTING THIS LOAD JOB WILL REPLACE EXISTING
                     DATA. DO YOU WISH TO CONTINUE WITH THIS LOAD JOB? (Y/N):
I                     A "" response  will submit the load job and replace old data.  A 
                     response will cancel the job and take you back to the CONVERSION HWDMS
                     TO RCRIS LOAD PROGRAMS menu.
I             6.    ENTER the box number to Route output listings to (4 char)?:
^             7.    ENTER the remote  to send your output to  (R### or N## R###)?:
               8.    ENTER the number of copies to print (1-9* enter key=l):
|             9.    Is the above information correct (Y/N)?:
-             2.3.5  RUN EDITOR
               Conversion Editor allows you to  check your information once it has been
               converted from HWDMS and CARS to RCRIS.  You will receive a report
I             listing the error codes and  error descriptions to help you in the comparison.
               Select RUN EDITOR  from the  conversion main menu. Respond to the following
I             prompts:
               2.3.5.1 SEQUENCE OF PROMPTS:
I             ENTER  S, R OR M INDICATING STATE, REGION OR MERGE DATABASE :
•             ENTER  STATE CODE :
               IS THIS OK? (Y/N) :
|             The following is a display screen showing the date and time.  It means that the Editor
               process has begun.
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               System Startup Guide              2-25

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         DATE:

         TXKB:
10/19/89
10:58
                          EXECUTING IBB RCR1S EDITOR


                    FILES ARE BEING ALLOCATED, PLEASE STAND BT
After the above screen has been executed the following screen will appear asking you
to select core flag and edit level.
         RCRIS:  IMPLBMBHTER CORB FLAB OVERRIDE
         SCREEN 1 OF 1
                                 HANDLER ID: N (Y/N)
                                 PERMITTING: N (T/N)
       COMPLIANCE, HONITORIHC AND ENFORCEMENT: N (T/N)
                           CORRECTIVE ACTION: N (Y/N)
                          PROGRAM MANAGEMENT: N (Y/N)
                                 EDIT LEVEL: L (H/L)


                            CHANGE VALUES AND PRESS ENTER


   CORB ONLY FIELDS MOST BE EITHER Y OR N. EDIT LEVEL B OR L
Entering  next to an option will only include core data in the edit.  Entering 
will include all data (including core) in the edit.  You can also select the level of edit
by choosing  or .  Entering  will provide a more stringent edit run, while
entering  will provide a less stringent edit run.
NOTE;

In many cases the conversion run will move data from HWDMS to RCRIS on a one-
on-one basis without any editing.  Entering  will still provide you with a fairly
stringent edit  Entering  will provide a level of edit equal to the Data Element
Dictionary.

Editor will continue processing.  It will also display information on the screen which
will tell you which  file is being edited  and at what  level,  (i.e. NOW EDITING
System Startup Guide
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HANDLER1, LOW LEVEL, CORE). The following set of screens are similar to what
you might see when doing a Editor run.
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NOW EDITING HANDLER!
LOW LEVEL
CORE
NOW EDITING HANDLBR2
LOW LEVEL
CORE
NOW EDITING NAME
LOW LEVEL
CORE




NOW EDITING CAAREA
LOW LEVEL
CORE
NOW EDITING CAARBA
LOW LEVEL
NON-CORE
NOW EDITING CACONSt
LOW LEVEL
CORE
NOW EDITING CACONSt
LOW LEVEL
NON-CORE

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NOW EDITING GAINST
LOW LEVEL
CORE
NOW EDITING GAINST
LOW LEVEL
NON-CORE
NOW EDITING EVENT
LOW L8VBL
CORE





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NOW EDITING EVENT
LOW LEVEL
NON-CORE
NOW EDITING CBBVAL
LOW LEVEL
CORE
NOW EDITING CBEVU
LOW LEVEL
NON-CORE
NOW EDITING CBENFOR
LOW LEVEL
CORB

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NOW EDITING CBBNFOR
LOW LBVBL
NON-CORB
NOW EDITING CBVXOL
LOW LBVBL
CORK
NOW EDITING CKVTOL
LOW LBVBL
NON-CORK
NOW EDITING PMCOMOTT
LOW LEVEL
CORK




NOW EDITING PHCOMMZT
LOW LBVBL
NON-CORE
NOW EDITING PKVBNt
LOW LBVBL
CORB
NOW EDITING PSVBNT
LOW LBVBL
NON-CORB
CORB
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                      NOW EDITING PDNIT
                                LOW LEVEL

                                CORE
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When the RCRIS Session Ended screen appears, respond  to the prompt "Do You
Want To Print Your Offline Datasets (Y/N)?"
     DATE:  10/19/89
     TINE:  10:58
                  ******* RCRIS   SESSION ENDED ********
          ALL FILES ALLOCATED DURING THIS SESSION ARE NOW FREED
     DO YOU WANT TO PRINT YOUR OFFLINE DATASETS (Y/N)?
This report "Edit Error Report", is sorted by Handler ID/Data Element.  This report
lists all edit errors on data coming into this copy of RCRIS starting with an ERROR
CODE and ERROR DESCRIPTION list.

When the RCRIS Session Ended screen appears, respond  to the prompt "Do You
Want To Print Your Offline Datasets (YyN)?"

The system will ask you for the "BOX" number and "REMOTE" printer site as
well as the number of copies.   Enter this information to receive a hard copy of
the edit.

This report, "Edit Error Report", is sorted by Handler ID/Data Element.  This
report lists all edit errors on data coming into this copy of RCRIS  starting with
an ERROR CODE  and ERROR DESCRIPTION list.

When the report is completed you will be returned to the Conversion Main Menu.
System Startup Guide
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2.3.6  FIRST TIME INITIALIZATION TAPE JOB


By following the prompts below you may create a tape of the flat files generated
during the Snapshot and Extract functions.  You may also create  a tape of RCRIS
programs  with this procedure.  To do this select FIRST TIME TAPE JOB from the
conversion main menu.

After a series of prompts a batch job under your  user ID is submitted using your
account specified in the system prefix and will invoke the BDT utility to create the
tape.

2.3.6.1 SEQUENCE OF PROMPTS:

1.     DO YOU WANT TO PROCEED (Y/N)  ?

      A welcome screen is displayed. Enter  to continue or  to return to the
      conversion main  menu.

2.     ENTER 5 DIGIT FIMAS ID USED TO SUBMIT BATCH JOBSTREAM ?

      The  Financial Information  Management Accounting  System  identification
      number. Contact your system administrator for a FIMAS id.

3.     ENTER 4 CHAR BOX NUMBER TO ROUTE OUTPUT TO (X###) ?

      Enter the code specifying where the computer operator is to deliver the output.

4.     SUBMIT BDT JOB FOR: (P)ROGRAMS, (R)EGIONAL DB'S, (S)TATE DB'S?

      Enter  
 if the system is  going to BDT program files,  for Regional
      implementer data files, or   for State implementer data  files.  This is
      important because the handler records are marked stored according to whether
      the records are for a Region or State implementer data base.

5.     ENTER REGION NUMBER (1-9,10) TO RECEIVE DATASETS ?

6.     ENTER DISPOSITION FOR THE RECEIVED  DATASETS (NEW/OLD)  ?

7.     IS  THIS CORRECT (Y/N) ?

2J.6.2 CONVERSION  REPORTS

Conversion reports list statistical information available from the First Time Initialization
BDT function.   They  are  delivered  to your bin  number location by a computer
operator.  Use the conversion reports to verify  status of job completion and identify
exceptions.  For example, a discrepancy between records read and records written.
Format errors are also identified in the conversion report.
System Startup Guide
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After submitting the job for background processing the tape is created.

2.3.7  FIRST TIME INITIALIZATION BDT

After performing the Snapshot and Extract functions the flat files that were successfully
created need to be transferred to the required LMF.  For a first time transfer select
FIRST TIME INITIALIZATION BDT from the conversion main menu.

After a series of prompts a batch job under your user ID is submitted using your
account specified in the system prefix and will invoke the BDT utility to send the
RCRIS FOCUS programs or RCRIS FOCUS data bases to the selected Regional LMF.

2.3.7.1 SEQUENCE OF PROMPTS:

1.     DO YOU WANT TO PROCEED (Y/N) ?

      A welcome screen is displayed. Enter   to continue or  to return to the
      conversion main menu.

2.     ENTER 5 DIGIT FIMAS ID USED TO SUBMIT BATCH JOBSTREAM ?

      The  Financial Information Management  Accounting System  identification
      number.  Contact your system administrator for a FIMAS id.

3.     ENTER 4 CHAR BOX NUMBER TO ROUTE OUTPUT TO (X###) ?

      Enter the code specifying where the  computer operator is to deliver the output.

4.     SUBMIT BDT JOB FOR: (P)ROGRAMS, (R)EGIONAL DB'S, (S)TATE DB'S?

      Enter 
 if the system is going to BDT program files,  for Regional
      implementer data  files,  or  for State implementer data files.  This is
      important because the handler records are marked stored according to whether
      the records are for  a Region or State implementer data base.

5.     ENTER REGION NUMBER (1-9,10) TO RECEIVE DATASETS ?

6.     ENTER DISPOSITION FOR THE RECEIVED DATASETS (NEW/OLD) ?

7.     IS THIS CORRECT (Y/N) ?

2.3.7.2 CONVERSION REPORTS

Conversion reports list statistical information available from the First Time Initialization
BDT function.   They are delivered  to your bin number location by a computer
operator.  Use the conversion reports  to verify status of job completion and identify
System Startup Guide
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exceptions.  For example, a discrepancy between records  read and records written.
Format errors are also identified in the conversion report.

After submitting the job for background processing the data is now on the specified
Regional LMF in the account you specified in step #2 above.

2.3.8  RECONVERSION TRANSFER FUNCTIONS

After performing the Snapshot, Extract, and First Time Initialization BDT functions, the
flat files that have  been successfully created can be transferred again to the required
LMF using the RECONVERSION TRANSFER  FUNCTIONS.

These functions move the implementer data to  the selected Regional LMF using the
Bulk Data Transfer (BDT) utility.  You may move individual module data or all the
converted data with this process.

To copy this data  to another mainframe account  of your choosing for either  use by
another account  or for backup purposes,  ensure  that a different output account is
selected or you will be copying the files onto themselves. The destination node is the
same as the source node.

Select RECONVERSION TRANSFER FUNCTIONS from the main menu and press
. Next select from the CONVERSION BULK DATA TRANSFER MENU
the option for the files you want to BDT and press .
There are five selections available from the Bulk  Data Transfer Functions menu that
allow you to copy  all converted RCRIS files or move individual module flat files to
the LMF.

         ***           RCRIS           ***
            U.S.  ENVIRONMENTAL PROTECTION AGENCY       DATE: 08/14/89
                                             TIME:  18:11:58


         CONVERSION BULK DATA TRANSFER AND COPY MENU
      1. BULK DATA TRANSFER ALL CONVERTED FOCUS FILES
      2. BULK DATA TRANSFER HID CONVERTED FOCUS FILES
      3. BULK DATA TRANSFER PMT CONVERTED FOCUS FILES
      4. BULK DATA TRANSFER CME CONVERTED FOCUS FILES
      5. BULK DATA TRANSFER CA  CONVERTED FOCUS FILES
      6. EXIT UnLTTIES MENU
             »» ENTER YOUR CHOICE:


System Startup Guide              2-33

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Various information is required by the system to move the data to the LMF. The
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required information.
2.3.8.1 SEQUENCE OF PROMPTS:
1.


2.







3.


4.

5.




6.






ENTER SOURCE NODE:
Enter TBDTRTP to identify the mainframe.

ENTER DESTINATION NODE:
Select the destination code from the list below.
Region 1 - BDTBN Region 7 - BDTKC
Region 2 - BDTNY Region 8 - BDTDV
Region 3 - BDTPH Region 10 - BDTSE
Region 4 - BDTAT Cincinnati - BDTCI
Region 5 - BDTCH Washington, D.C. - TBDTWIC
Region 6 - BDTDA NCC Mainframe - TBDTRTP
ENTER THE SOURCE ACCOUNT:
Enter the mainframe account number where the data to be moved resides.

ENTER THE DESTINATION ACCOUNT:
Enter the mainframe account number where you want the data moved.
ENTER STATE CODE:

Enter the two character State code identifying the implementer data the system
should use for this activity, i.e.  for Kentucky.

ENTER DATABASE (R,S):
Enter  if the implementer data base is State or  if the implementer
data base is Regional. When the extract is performed, the handler records are
named according to whether they're State or Regional records. When
performing the BDT function, the system needs to know if it is looking for
State files or Regional files.

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7.     DOES THE CONVERSION FLAT FILES CURRENTLY EXIST ON THE
      DESTINATION NODE ? (Y/N) :

      Enter  if the conversion fiat files currently exist on your Regional LMF or
       if they do not.

8.     IS THIS OK ? (Y/N) :

      Enter  to continue or  to restart the selection process.

9.     THE FOLLOWING DEFAULT PARAMETERS WILL REMAIN IN EFFECT
      FOR THE REST OF YOUR SESSION UNLESS YOU CHANGE THEM:
      BOX= DEST= PRTY= COPIES=
      THE TIME  IS 10 MINUTES AND 0 SECONDS
      IS THIS CORRECT? (Y/N CR=Y):

      Enter  or carriage return if the information is correct. Enter  if the
      information is incorrect.  Entering  will bring up each selection for you to
      change.  After entering the correct information press  to move to the
      next selection.  NOTE: The "time" information is VERY IMPORTANT..  You
      must make an accurate estimate of how much time will be needed for your job.
      If the job runs longer than your estimate processing will end  immediately.

10.    ENTER C TO CANCEL SUBMISSION OR ENTER TO CONTINUE:

      When  all the information is correct press  to submit the job.  Press
       to cancel should you chose not  to submit the job.  The message  "job
      cancelled press enter to continue" is displayed when a job is  cancelled.

2.3.8.2 Conversion  Reports


      Conversion reports list statistical  information  available from  the Bulk
      Data Transfer  and Copy functions.   They are delivered to  your bin
      number location by a computer operator. Use  these conversion reports
      to verify status  of job  completion  and identify  exceptions (i.e.
      discrepancy  between  records read and records written,  format errors,
      etc.)


After submitting the job for background processing the data is now on the LMF in the
account you specified in #2 above.

2.3.9  DOWN LOADING STATE PC IMPLEMENTER DATA

For those states  who have elected to implement RCRIS on a PC,  the RDBA  must
move the converted HWDMS flat files from  the NCC Mainframe,  where they  were
created, to 5  1/4" high density diskettes, which must  then be provided to the SDBA
before that State's PC installation can begin.
System Startup Guide
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The particular method of down loading this data is left to the discretion of the RDBA,
but in most cases, either the PC software package CROSSTALK, or ARBITER should
be used. For cases where these are not feasible, or possible, the RDBA should contact
the NCC TELECOMMUNICATIONS HOTLINE,  or the  RCRIS USER SUPPORT
HOTLINE for assistance.

For some  States,  the  Handler Identification files  may  be too large to fit on one
diskette. If this is the case, they  must be down loaded to a hard disk first, placed on
multiple diskettes  with  the DOS  BACKUP utility,  and  clearly marked  to inform the
SDBA as to the procedure to use to RESTORE the data.

It is recommended that a  mainframe utility such as ISPF or LISTD be  used to check
the size of the handler files before down loading begins for any particular state.

The following  is  a list of the convened  HWDMS  flat files which must be  down
loaded:
MAINFRAME  FILB  NAME*
                           PC FILB  NAME
                                            APPROXIMATE
                                        SIZE (IN BYTES)**
HANDLER IDSnZTXCATXO* FLU FILES


RCRS.XXS.COBAND1.DATA
RCRS.XXS.COHAHD2.DATA
RCftS. XXS. COHAND3. DATA
RCRS.XXS.COHAND4.DATA
RCRS.XXS.COHANDS.DATA
RCRS.XXS.COHANDS.DATA
RCRS.XXS.COHAND7.DATA
RCRS.XXS.COBAND8.DAXA
RCRS.XXS.COHAND9.DATA
RCRS.XXS.COHND10.DAXA
RCRS.XXS.COHND1OA.DAT
RCRS.XXS.COHND11.DATA
RCRS.XXS.CORND12.DATA


PERMITTING  FLAT  FILES


RCRS.XX.COFBR1.DATA
RCRS.XX.COPBR2.DATA
RCRS.XX.CQPBR3.DATA
COMPLIAHCX
RCRS.XX.
RCRS.XX,
RCRS.XX.
RCRS.XX.
RCRS.XX.
RCRS.XX.
RCRS.XX.
RCRS.XX.
OBI. DATA
CMB1A.DATA
CMB1B.DATA
CUBIC. DATA
CHB2.DAXA
CMB2B.DATA
CMB3.DATA
CME3A.DATA
X FILES
HANDLER!. CON
HANDLER2.CON
HANDLERS. CON
RANDLBR4.CON
HANDLERS. CON
RANDLBR6.CON
HANDLER?. CON
HANDLERS. CON
HANDLBR9.CON
HAND10.CON
HANOI OA. COM
HAND11.COM
HAND12.CON
PBRMIT1.CON
PRRMTT2.COT
PERMITS. CON
CMB1 . CON
CHB1A.CON
CKB1B.CON
CMB1C.CON
CHB2.CON
CMB2B.CON
CKB3.COS
CKB3A.CON

535,000
1,380,000
100,000
14,000
13,000
37,000
2,500
70,000
87,000
157,000
14,000
4,300
9,800
39,000
65,000
28,000
53,000
32,000
32,000
200,000
133,000
29,000
132,000
29,000
System Startup Guide
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CORRECTIVE  1CXXOH  FIAT FILBS
RCRS. XX. AHUFLT. DM*
RCRS. XX. CAINST2. DATA.
RCRS. XX. CAINST3. DATA
RCRS.XX.CAIHST4.DATA
RCRS.XX.CAIHST5.DATA
RCRS.XX.EVINFLT.DATA
RCRS.XX.CCMKBNT2.DATA
RCRS.XX.BTBKPFLX.DAT
ARRAFLT.FTH
CAINST2.FTM
CAINSI3.FTH
CAINSE4.FTK
CAIUSI5.FTM
8VEMFLT.FTK
COMMENT2.PTM
BTEHPFLT.FTM
100
100
100
100
100
2,000
1,000
1,000
*Tb* "XX" in tb* mainframe file nam abould be replaced with tb« State abbreviation.

**Fil« *iie« are only eatiaatea, and are provided to aaaiat in planning.  Exact figure* can
be obtained only  after a conversion extract ha*  occurred for tb* particular state in
question.

NOTE:  Program Management and Facility Management Planning data is not convened
and therefore there is no data for those two modules.

2.3.10  RCRIS SOFTWARE INSTALLATION INSTRUCTIONS FOR THE PC

The following instructions apply to a PC dedicated to RCRIS.

1) Prerequisites:

   A) DOS 3.2 or better must be already installed on the PC.
   B) Focus 3.1 (only) must be already installed on the C: drive
     of the PC.
   C) PC  must be IBM  compatible (IBM  AT or better).
   D) PC must have a high density 5  1/4"  inch  diskette drive.
   E) PC  must have 30 megabytes available on  the C: drive before
     RCRIS is installed.

2) The Regional  Data Base  Administrator will receive  5 PC RCRIS
   software diskettes.  You  need to obtain  copies of these
   diskettes (remember, they must be 5 1/4" high density).

3)  PC  RCRIS Software Installation Instructions:
    A) Place diskette  1  in the diskette drive designated as A.
    B) At the DOS prompt  type:  A:INSTALL.
    C) Press .
    D) The necessary instructions  will be displayed. Follow these
      instructions as  directed.
    E) When all  the diskettes are copied and the compile has been
      completed the RCRIS logon menu will appear,  the RCRIS
      installation is complete.

4) PC RCRIS Data Installation Instructions:
   A) You  should receive your data on high density diskettes from
     your Regional Data Base Administrator. The  data on these
     diskettes must be copied or  restored  to the RCRIS directory
     before you continue.
System Startup Guide
            2-37

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   B) After the data has been placed in the RCR1S directory, at the
     DOS prompt type:  LOADDATA. When the command has been
     executed the "RCRIS Data Load Menu" will then appear.
   C) Each menu item must be selected starting from the top
     (selection #1) and moving down through selection #4.

5) When data is loaded, exit the menu. This will take you to the
   RCRIS  Logon screen.  At this time your data installation is
   complete.

2.4   RCRIS SOFTWARE INSTALLATION INSTRUCTURE FOR THE LMF

Ensure that the BDT job completed successfully by checking for condition codes = 0
in the jobs outlistings.  On the LMF from the ready prompt, type the command: EX
'RCRS.RCRIS.CLIST(PROGCOMP)'.  After  completing this step, enter the  RCRIS
command:  EX 'RCRS.RCRIS.CLIST(RCRIS)'.

2.4.1  MOU TABLE

The MOU Table is an integral part of RCRIS.  The table defines and stores data
segment ownership information, implementer report headings, and other important data.
This table  created during  the CA RCRIS LOAD conversion steps.

The Regional Data Base Administrator (RDBA) is responsible for creating the MOU
Table for all implementers. Instructions for creating and revising the MOU Table can
be found  in the Merged Database  Administrator Guide.   The  RDBA uses those
instructions to create the MOU Table for the implementer. This also creates an MOU
flat file the implementer copies and loads  into their RCRIS MOU Table.   The
implementer may then add specific elements for their agency to their MOU Table and
creating tailored report headings.

Procedures for loading the MOU flat file  will vary among RCRIS platforms  and are
discussed below.

2.4.2  MAINFRAME AND LOGICAL MAINFRAME (LMF) IMPLEMENTERS

Agencies using  the NCC mainframe or  EPA Regional LMF  as their implementer
platform must obtain the MOU flat file name from the RDBA.  Then, while referring
to the Data Base Administrator Guide, the implementer Data Base Administrator (DBA)
must load  the MOU flat file into their RCRIS MOU Table.

2.4.3  PC  IMPLEMENTERS

The RDBA will copy  the MOU flat file to MOUINIT.DAT onto  the last installation
diskette for agencies using a PC as their implementer platform prior to sending the
installation  package to the  implementer.   Then, while  referring to the Data Base
System Startup Guide
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Administrator Guide, the implementer State Data Base Administrator (SDBA) must load
the MOU flat file into their RCRIS MOU Table.
System Startup Guide
2-39

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                                      SECTION 3

                PARALLEL OPERATIONS AND RECONCILIATION


 Once the RCRIS system has been installed and the data base initialized, the implementer is ready to

 begin parallel operations.  Parallel operations is a cyclical process of entering data into two

 systems, reconciling the reports from the two systems and entering the data again.  This section is

 intended to help the implementer plan for the parallel process period and provide guidance in the

 reconciliation process.


 This document is not intended to define precisely how parallel operations is to be run, how long it

 is to be run for or what criteria is to be used to determine the end of the parallel operations period.

 Those details will vary greatly from region to region and state to state. This variation exists

 because of the many differences in how information is gathered, entered and reported in the differ-

 ent states and regions.  This document attempts to describe the variations and some possibilities for

 running parallel operations. The final decision for how parallel operations proceed rests jointly

 with the implementer state and region.
3.1   PARALLEL OPERATIONS OVERVIEW


3.1.1 PARALLEL OPERATIONS PROCESS


Parallel operations tests and compares a new system against an old system.  The test includes the

collection and recording of data on input forms, entering data into the new system, running reports

and reviewing the reports for accuracy.  With a new system, there are generally new forms to be

filled out, new data entry procedures, new methods for running reports and new reports to review.

Each step of the process needs to be thoroughly tested to ensure that the new system performs at

least up to the level of the old system. This testing is done by entering a sufficient quantity of data

into the new system over a sufficient period of time in order to exercise all aspects of the new

system. During the test period the data is still entered into the old system for production reporting

since the new system has not yet been proven.
System Startup Guide                    3* 1

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 3.1.2  PARALLEL OPERATIONS COMPONENTS  •


 The components of implernenter parallel operations are the collection of the data, the double entry

 of data into HWDMS and RCRIS, the comparison of the results and the reconciliation of the

 differences. Parallel operations must take into account each of the components.  The first

 component is the gathering of information for entry into two systems. This can be done via special

 forms  or by marking up "turn-around" documents or standard reports.


 The next component is the entry of the information into the system. This can be done in several

 ways.  The person who generates the information, for example, the permit writer or the inspector,

 may enter the information directly into the system. Another way is for the information to be passed

 to a central data entry clerk for bulk data entry. A third way is for the information to be given to a

 data specialist who reviews the data for accuracy and consistency and then enters it Some

 implementers will use a combination of these different ways.


 Once the information is entered, reports are run to verify correct entry.  These may be reviewed by

 the data entry person or passed back to the information source for verification. The comparison

 and reconciliation are done at three points. These points are represented graphically in Figure 3-1.
          National
          Oversight
Regional
 Merge
                              SPMS
           Imple-
           menter
                     Figure 3-1  Reconciliation of the HWDMS and RCRIS

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 First, at the implementer level, reports from RCRIS are compared with reports from HWDMS.

 Next, the RCRIS data is transferred to the merged data base where State and Regional implementer

 data is added together, according to implementer of record (IOR) assignments determined by the

 Region and State in their RCRIS Memorandum of Understanding (MOU), in order to form a single

 picture. The resulting data must be compared to the HWDMS data.  The third point of comparison

 is at the RCRIS oversight level. The oversight information from the merged data base is

 transferred to the RCRIS oversight data base. Reconciliation of the data on the RCRIS oversight

 reports with the data on the HWDMS reports is done once again.
3.1.3 RECONCIUATION


Reconciliation of RCRIS with the existing systems occurs at two points, when the RCRIS data

base is first initialized and during parallel operations after the data has been entered into both the

old system and the new system. The difference between the reconciliation done at these points is

the amount of reconciliation necessary. After initialization of RCRIS, the entire new data base will

need to be reconciled with the old system. This can also be called the post-conversion cleanup

phase. During parallel operations, reconciliation is only necessary for the data that has been

recently entered. Although the amount of work differs between these two points, the methods

used to reconcile the data do not. Reconciliation involves comparing the output from the two

systems and determining if there are discrepancies.  The process for reconciling RCRIS with an

existing system is discussed in more detail in section 3.2.
3.1.4 SELECTING THE TIMEFRAME


The implementer parallel operations of the HWDMS and RCRIS systems is defined as that period

of time during which common information is entered into the two systems and the resulting data is

traced through the entire reporting cycle. The reporting cycle includes the implementer, merged

data base and oversight reporting functions.


Figure 3-2 shows graphically where parallel operations fits into the entire process of installing

RCRIS. Prior to beginning actual parallel operations, the following steps should be completed:
System Startup Guide                   3-3

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              Installation of FOCUS and RCRIS software;
              RCRIS data base initialization;
              Cleanup of the Convened Data;
              Input of required data not from conversion.

 These topics are covered in sections 2 and 3.3. Parallel operations starts after these steps have
 been completed.
Design
Of
Transition
Process
-*

Collection

Parallel
Operations
HWDMS
&
RCRIS
'

—

Reconciliation


          Figure 3-2  Transition Period: HWDMS and CARS to RCRIS
The length of time for parallel operations of HWDMS and RCRIS is a decision that is made by the
implementer together with Regional staff. The time should be adequate to allow for reconciling the
data as fully as the State and Region together determine is necessary. There are several factors to
be considered when establishing the timeframe for parallel operations.  They are:

       *  providing a sufficient but not excessive amount of data for processing during
          that period;
       •  availability of staff; and
       *  inclusion of the monthly and quarterly reporting boundaries.

The amount of data is critical for several reasons. If the parallel operations is done for only a small
amount of data, all pans of the system may not be adequately tested. Conversely, if the amount of
data expected is too great, doing double entry could prove too difficult. For example, this could
happen if the parallel operations period is set for the same time that annual renotification forms are
expected from all transporters. The parallel operations effort should test enough data fors
confidence sake but not so much as to bring things to a halt.
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 The second consideration is the staff availability.  If a critical staff member is planning a month's
 vacation it might be best to put off parallel operations until after his or her return.  Additionally, if
 extra staff is going to be needed, the hiring or contracting cycle needs to be taken into account

 The last timing issue involves testing all functions of reporting. Since the merge and oversight
 functions need to be run through the normal cycle of  monthly and quarterly reporting, the period of
 parallel operations should cross at least two monthly  repotting cycles. The first month boundary
 identifies any major problems in the merge and oversight processes. The next four weeks can be
 spent fixing the problems. The second month cycle provides for verification  that the problems
 identified have been corrected. A third month would be useful to ensure that no problems
 remained but is not absolutely necessary.  The test should also cross the quarterly SPMS reporting
 cycle.

 The actual procedures for parallel operations of HWDMS and RCRIS will vary from one
 implementer to another. There are several factors influencing how parallel operations are done by a
 particular implementer. These factors include how RCRIS andHWDMS are used, the amount of
 data involved,  the methods used for gathering data and reporting data and the relationship between
 the state and region. Exactly how these factors influence parallel operations is described in the
 following section.
3.2   SELECTING AN APPROACH  TO PARALLEL OPERATIONS

Two key issues in selecting how an implementer will approach parallel operations are how data is
entered and the organization of staff for data gathering, entry and reconciliation during the parallel
operations period. This includes whether the current methods and procedures will be different for
the new system.  The four basic ways to use either system are:

     -  Manual - manual entry states do not have an automated system.  They report to the Region
        using paper.  The Region enters the data and sends a report back to the State.

     -  Direct Entry - these implemented use the automated system. They enter their own data
        and run their own reports. The Region gets information when necessary by directly
        querying the data base.
System Startup Guide                   3-5

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      -  Translator States - these implementers maintain their own automated system. Information
         is electronically transferred from the State system to HWDMS and/or RCRIS on a
         regularly scheduled basis. HWDMS and/or RCRIS are used only for oversight reporting.

      -  Hybrid States - these implementers use a combination of the above three methods.  Some
         data may be submitted manually to the Region for input into HWDMS or RCRIS.  Some
         information may be entered directly into HWDMS and/or RCRIS by the State.  Some
         information may be put into a State specific system and the information is transferred
        either electronically or via paper reports on a regular basis.

 These categories of implementers are valid for both HWDMS and RCRIS although an implementer
 may not  be the same type in both systems.  For example, an implementer could be a manual entry
 state for  HWDMS but will be a direct entry State for RCRIS. The way both systems are used will
 directly affect how parallel operations are performed.
3.2.1 MANUAL, AUTOMATED AND  TRANSLATOR STATES

Manual entry States will need to understand the new RCRIS data entry forms and report formats.
The resource burden on the manual entry State for RCRIS will depend in large pan on how the
Regional counterpart plans to run parallel operations. At some point, the manual entry RCRIS
State staff will need training in the new data gathering methods and reading RCRIS reports.

A Region with several manual entry states will need to carefully analyze how to run parallel
operations. The burden on the regional staff may be lessened by spreading the parallel operations
work to all people involved, i.e., the data gatherers would be required to fill out both forms and
compare both reports. The training requirements will be greater initially but may be worth it in the
long run.

Direct entry States will run parallel operations as the Region would. The discussion in section 3.2
applies to everything they do.

Translator States must be prepared to maintain their current HWDMS operating procedures at the
same time the RCRIS translation is being tested. This may involve paper or electronic transfer of
data to HWDMS. Whatever the process  is now, that process will continue throughout the parallel
operations period.
System Startup Guide                    3-6
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 3.22  DATA GATHERING AND DATA  ENTRY

 How data is gathered and entered will influence how an implementer runs parallel operations. The
 methods used to gather the data can range from actual forms that are filled out to a turn-around
 document produced by the system. The data entry method can range from batch entry by a clerk to
 individual entry by a permit writer or inspector.

 There are several ways to approach parallel operations on the data gathering and entry side. These
 include establishing a separate RCRIS team, getting everyone involved or switching users to
 RCRIS entirely. Each of these methods has advantages and disadvantages. What works in one
 region or state may not work in another.  Each implementer must review the requirements in that
 State or Region and determine the best solution.
3.22.1 Team Approach

One way is to buffer the users from the system as much as possible until the new system has
proven itself workable. The users continue to use HWDMS while a RCRIS team does all the
parallel work in RCRIS.

The RCRIS  team is responsible for all work related to RCRIS during the parallel operations
period.  The users gather information using HWDMS methods. The data is entered into HWDMS
and the regular reports generated. HWDMS operations continue as usual. In the meantime, the
RCRIS team is taking the HWDMS input data and translating it to RCRIS format on RCRIS
forms. They then enter the information and run reports. The reports are checked against the
HWDMS reports by the RCRIS team and any problems are corrected.

There are several advantages to the team approach of parallel operations. First, many people may
object to having to fill out two forms for the same piece of information.  The team approach makes
this unnecessary.  Second, the team can iron out many problems in the new system before the end
users ever see it. This  will  make the eventual transition of all users a smoother process.  Third,
there is less training needed initially if only a small group of people are involved with RCRIS.

There are also several disadvantages to the team approach  to parallel operations. Not all
implcmenters have the staff available to dedicate a group of people to RCRIS. There may not be
System Startup Guide                    3-7
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 enough people with the knowledge of the RCRA program to coven the information on the

 HWDMS forms to the RCRIS format.  Third, if the data entry function is not centralized, it may be

 difficult to keep track of all the changes that are made to HWDMS. This would cause

 discrepancies between the two systems that would be difficult to resolve.


 3.2.2.2  Everyone Uses Both Systems



 Another method of running parallel operations is to effectively double the work load of everyone

 concerned.  Those involved with filling out data entry forms fill out an old one and a new one for

 each piece of information. The two forms go to data entry and the information is entered into both

 systems.  Reports are run from both systems and the results are compared. This method spreads

 out the work load among the largest number of people. This increases the work of all people

 involved but does not require a special group.


 The advantages to putting the burden equally on everyone's shoulders are the reverse of the

 disadvantages of the team approach.  The staffing requirements are not as great.  Everyone does

 some more work but not a great deal more. In addition, the permit writers and inspectors who

 have the RCRA program knowledge are better equipped to interpret how best to fill out the RCRJS

 forms. A third advantage is that the people involved at all levels will be trained in RCRIS by the

 end of parallel operations, tn fact, going through the process of finding and solving problems may

 give them a better understanding of the new system.



 The disadvantages of this approach is obviously the opposite of the team approach advantages.

 More training for all levels is needed before parallel operations can begin.  Training will have to

 include using the forms, entering the data and interpreting the reports.  Each staff member's work

 load becomes heavier during the parallel operations period This could be particularly burdensome

 if the parallel operations timeframe is longer than a month or two.
3.223 Switch All Users To RCRIS


A third method for running parallel operations is to switch the users to RCRIS entirely. Those

responsible for collecting the data fill out RCRIS or hybrid forms and get back RCRIS reports.

The RCRIS forms are used for data entry into both systems.
System Startup Guide
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f           Another variation is to phase in the different users over the parallel operations period. Prior to the
           beginning of parallel operations, a small group of key people would be involved in installing and
_         testing RCRIS. Then, at the begining of parallel operations the data entry staff could be brought
B         into the process. They or the RCRIS installation team would prepare the forms for data entry and
           review the results. Next, the data gatherers could begin being phased-in by reviewing the reports
jj         from RCRIS.  After they are familiar with the reports and the RCRIS data structure, they could
           begin filling out the RCRIS forms.
•         System Startup Guide                    3-9
I
 The logistics of this are more complicated than the other two approaches mentioned. Since
 HWDMS and RCRIS are not identical, using RCRIS forms to enter data into HWDMS could
 cause problems. At the very least, the data entry person would need to understand the differences
 between the systems and how to translate the information.

 The major advantage to this method is that all the users are started on RCRIS immediately with the
 appearance that HWDMS has been superceded. The disadvantages however are great. First,
 problems in the RCRIS system will be very evident and difficult to get around since the RCRIS
 system, in effect, becomes the production system.

 Second, the critical element of this method is the data entry person. That person is responsible for
 convening data on RCRIS forms into data for the HWDMS data entry screens.  If this person is
 not extremely knowlegeable about both HWDMS and RCRIS, the resulting data in HWDMS will
 be incorrect  Since HWDMS is the official reporting system during parallel operations, there is a
 good chance that national reporting will be incorrect and the implementer's SPMS measures wiH be
 misstated.
3.2.2.4 Variations On A Theme

There are several variations on these three methods of running parallel operations. One variation is
to use the first round of RCRIS changes as part of the training sessions. During the cleanup of the
initialized RCRIS data base, routine changes and updates that are entered into HWDMS can be
saved for entry into RCRIS. These few changes can be transferred onto RCRIS data entry forms
and entered into the RCRIS system as pan of testing the basic functions. The transfer to RCRIS
forms can be done in conjunction with a training session for the data gatherers. The entry of that
data into RCRIS can be done in conjunction with the training of the data entry staff. The resulting
reports could be used in training the users of the reports.

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 This option will not work for all data entry situations. If the data gatherers, i.e., the permit writers
 and inspectors, enter their own data then obviously it will not be possible to phase in data entry
 before data gathering. In this case the phasing-in might be done by module.  The permitting group
 could be phased in before the compliance group for example.  This spreads out the support
 demands over a larger time period.

 Another variation is the amount of data that is entered. Some data may not be considered critical
 for some implememers.  This information could be left out of both systems during parallel
 operations. For example, updates to transporter notification may be held out of both systems while
 the more critical event information is tested. Once the critical components have been tested, the
 other data could be added to the information flow. It could be added to RCRIS once the system is
 operational.

 Not entering all data is an option that many implementers may be interested in using. This is a
 reasonable option as long as all disadvantages have been seriously considered  One disadvantage
 is that if not all the data is entered into RCRIS, the entire RCRIS system may not be throughly
 tested during parallel operations. Problems could arise later when non-critical information is
 entered that should have been resolved at the pilot or parallel operations phase.

 Another disadvantage is that the information that is not entered into the system will not be readily
 available to users of the system during the parallel operations period If the parallel operations
 period is short, the lack of information may not be critical. If it is longer than a month, users may
 need the information but not be able to get it Which data to exclude must be carefully analyzed
 based on the Regional and State requirements for the implementer in question.
J.J   RECONCILIATION OBJECTIVES AND METHODS

Reconciliation is the process of viewing the data in the two systems, determining if there are any
discrepancies and resolving those descrepancies found.  For the RCRIS system, there are rwo
points at which reconciliation is done - after the data base is initialized and during parallel
operations. The RCRIS data base is initialized either by converting data from an existing system or
by re-entering the data manually. In either case, the objective of the initial reconciliation process is
to ensure that the RCRIS data base contains the same basic information as the HWDMS and CARS
systems prior to parallel operations. This process is frequently called post-conversion cleanup.
System Startup Guide                   3-10
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 This is necessary so that the next stage of reconciliation identifies processing problems, not
 initialization problems. Presumably, once the pilot has been successfully completed, problems in
 the data base and report design and implementation will have been resolved. Therefore,
 reconciliation will identify problems in the following areas:

       - data gathering,
       - data entry,
       - data interpretation,
       - merge data base procedures and
       - oversight data base procedures

 The objectives of parallel operations are to identify problems in these areas and resolve them as
 quickly as possible.

 How much reconciliation is done is a decision for the implementer to make together with staff in
 the EPA Regional office. Factors such as amount of time and resources available and the quantity
 of data will determine whether every data element for every handler is reviewed or whether certain
 key handlers and data elements only are reviewed. Reconciliation at a minimum would involve
 ensuring that the SPMS reports run by headquarters give either the same results in both systems or
 at least acceptable results from RCRIS.  (In some cases the data will not be the same because
 RCRIS was intentionally designed to handle certain data differently).  This requires verifying that
 the universes as calculated in RCRIS—generator, disposal, incinerator and storage/treatment~are
 the same as HWDMS or are acceptable, and that critical event and status information is the same or
 acceptable.

 Beyond the basic information required by headquarters, there may be information required at the
 implementer level that will have to be verified before RCRIS can be used as a production system.
 Additionally, other universes and events will be reconciled.  These should include transporters,
 small quantity generators and information specific to state regulations.

 How problems are identified is a decision that is made by the implementer. The reconciliation can
 involve checking every data element in RCRIS with the corresponding data element in HWDMS.
 This may prove to be too burdensome for most implemented. A more reasonable approach would
 be to identify the key elements for critical reports and verify that those are the same in both
 systems.

System Startup G uide                   3-11

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 The rest of this section describes in more detail how to reconcile RCRIS with the existing system.
 What elements to reconcile is addressed as well as what tools to use to do the reconciliation.
 Reconciliation in this section is assumed to mean comparing RCRIS to either HWDMS or CARS.
 Some implementers may wish to reconcile RCRIS with their own system. In this case, the
 suggestions contained in the following sections on which reports to use will have to be replaced
 with names of equivalent reports in the implementers system. The suggestions on which data
 elements to reconcile remain the same.
3.3.1 HANDLER ID RECONCILIATION

The reconciliation if general handler information can be limited to which handlers are in specific
universes or can include looking at other data elements such as SIC codes, waste codes, process
codes, and contact information. At a minimum, those areas where conversion could have
introduced errors should be reviewed carefully. The most important area to be reconciled is the
handler data in the handler universes. In HWDMS, the activities in which a handler is engaged are
designated in the data elements C305, C1101, Cl 102 and Cl 105. .These determine if a handler is
a generator, transporter, disposer, treater, or storer of hazardous waste. In RCRIS, these
categories are based on the contents of data elements that are calculated based on the values of other
data elements.

To compare these universes, there are several different reports that are needed. In the handler
reports section of RCRIS, there is a report titled "The One Line Per Handler" report This report
can be run by universe.  For example, the user can  select the report with only handlers that are
generators or only those that are disposers. This reports shows the handler's activity indicators
under each source record for the handler. The reports in HWDMS that are necessary for
reconciling universes  are:
System Startup Guide
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             RCRIS                      HWDMS
                                           Report
       Fully Regulated Generator       Generator Report
       Transporter                    Transporter Report
       Land Disposal                  Disposal Facility Count
       Incinerator                     Incinerator at Disposal Counts
       Incinerator                     Stand Alone Incinerator Counts
       Storage Treatment               Storage/Treatment Counts
       Small Quantity Generator        No Equivalent

These reports are available on the OS W RASMENU. The first three reports can be compared
direcdy.  Handlers in the RCRIS report should appear on the HWDMS report. If a handler does
not appear on both reports, the activity indicators for the handler should be reviewed. In some
cases, the discrepancy is due to a better reflection of reality in RCRIS.  In these cases, no data
needs to be changed. In other cases, there has been a problem in the conversion and the RCRIS
data should be corrected.

The incinerator universe comparison requires reviewing two reports in HWDMS. The HWDMS
count of incinerators breaks the handlers into two categories, those incinerators at disposal facilities
and those not at disposal facilities (stand alone incinerators). The RCRIS one line handler report
will include both of these categories when the RCRIS incinerator universe  is selected

The storage/treatment universe is also different in the two systems. The HWDMS report does not
include handlers that are in either the disposal or the incinerator reports. The RCRIS report will
include all handlers that have storage/treatment activities. This should be taken into account when
comparing the universes.

The last RCRIS universe, small quantity generators, does not have an equivalent HWDMS report
This universe cannot be reconciled unless the implementer has a small quantity generator report for
HWDMS.

Another area where the conversion should be reviewed is the contact information. The Handler ID
mailing label report can be run for all handlers and the contact name reviewed to ensure proper
conversion.

System Startup Guide                  3-13

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 3.3.2  PERMITTING RECONCILIATION

 At a minimum, reconciliation of the Permitting data involves verifying certain key events for a
 handler are in RCRIS and are linked to the appropriate process codes. The RCRIS reports:

       * Permit Unit Groups by Event, and
       • Events by Permit Unit Group

 can be run for the events and verified against the various HWDMS reports showing the same
 information. There are separate HWDMS reports for each of the universes. Additionally, the
 HWDMS permit and closure milestone reports for disposal facilities can be used.
3.3.3 CM&E RECONCILIATION

Reconciliation of the CM&E data involves reviewing the evaluation and enforcement action records
and the linkages between those records and the violation records. This reconciliation should be
done in three phases. Each phase can be further refined by reviewing only data for a specific rime
period, i.e., the current fiscal year.  The first phase is to verify the evaluation and enforcement
action records. There are two reports in RCRIS on the CM&E reports menu for this purpose:

       •  List of Handlers with Evaluation During Given Period, and
       *  List of Handlers with Enforcement Actions Issued During Given Period.

These can be run for a specific time period, such as the current fiscal year, and compared to the
same items in the R/E 1 and R/E 7 sections of the OWPE HWDMS SPMS report for the same time
period. Additionally, the implementer may have other HWDMS reports that can be used for
comparison. Once die total number of evaluations and enforcement actions have been reviewed,
die specific records for each handler can be examined to ensure the two systems reflect the same
information.

The second phase in reconciling the data is to review die outstanding violations.  The RCRIS
report "List of Handlers with Outstanding Violations" gives the RCRIS view of die data. The R/E
3 section of the OWPE HWDMS SPMS report or an implementer specific report gives die
HWDMS equivalent data.
System Startup Guide                  3-14
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           Hie third phase of CM&E reconciliation is to review the links between evaluations, violations and
fl         enforcement actions. The RCRIS report "Timeliness (Evaluation Date and Enforcement Date)" can
           be compared with the R/E 3 section of the OWPE HWDMS SPMS report or other implementer
•         specific reports.

           3.3.4 CORRECTIVE ACTION RECONCILIATION

           Corrective Action (CA) reconciliation, like Permitting and CM&E, involves checking the main
           events and their links. In the case of CA, the links are to corrective action instruments and areas of
           a facility which the instrument addresses. The RCRIS reports available are:

                  •  Detailed Instrument - Area - Event
                  •  Detailed Event - Area - Instrument
                  •  Facilities with Selected Events.
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          These reports are compared to the CARS reports.

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•         System Startup Guide                  3- 1 5
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                                APPENDIX A


                            Conversion Checklist


 The Implementers, through their choices of conversion options, can decide what

 HWDMS and CARS data to converted to their RCRIS Implementer data base.  The

 conversion options control  the amount of data converted from each section.  Each

 Implementer must determine which conversion options best suit his or her needs.


 Before filling out the Conversion Checklist, each Implementer should read Chapter

 2 of the System Startup Guide.  Chapter 2 explains how the conversion programs

 work  and gives  detailed  explanations of  all the  conversion  options.   The

 Implementer should also consider the expense of computer resources and potential

 data cleanup before choosing any conversion options.  You may  need  to submit

 more than one checklist so make a copy of the blank checklist and file it for later use.


 When  deciding which conversion options to use, please keep in mind the expense

 of computer resources  and potential data cleanup associated with the CM&E

 Generators and Transporters options.


 After filling out the Conversion Checklist, make a copy for your records and send

 the original to your Regional Data Base Administrator.


 If you have  any questions about completing the  Conversion Checklist, contact

 RCRIS User Support. They will be able to help you.
System Startup Guide                A-l

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 Handler ID Conversion Checklist


 If you want to use HWDMS Handler data to initialize the Handler ID portion of the

 RCRIS data base, complete the following checklist and use it to run the conversion

 software described in Section 2. If you are a State DBA you may have to send the

 completed checklist  to the Regional DBA and have him or her run the conversion.

 Check with your Regional DBA for more information.


   1. Output Destination

      This is the printer  where the HID conversion reports will be sent, i.e., N7,

      PMT255, etc.


   2. Bin Number

      This is the additional four character code that determines where the report

      listing is put by the printer operator i.e., D142, MMRH, etc.


   3. FIMASID

      The FXMAS code for accounting purposes.


   4. Is this for a State or Regional implementer database (S or R)


   5. State Code

      This is the two character State abbreviation for the State being extracted.


   6. Core/Num Core Indicator (Y or N)

      Enter Y to convert  both core and non-core HID data elements.  Enter N to

      convert only core HID data elements. (Backwards from previous)


   7. Inspection Source (S/E or blank)

      Enter S to create S source records, E to create E source records or blank to have

      neither S or E records created. Note: if you answered S to question 4 you can

      answer S or blank here.  If you answered R to question 4, you can answer E or

      blank here.
System Startup Guide
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8.  Contact Address (L or M)	

   Enter L to use the handler location address for creating  all contact address
   information.   Enter  M  to  use  the handler  mailing  address for creating all
   contact address information.
          System Startup Guide                 A-3
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 Permitting Conversion Checklist


 If you want to use HWDMS Permitting data to initialize the RCRIS PMT module

 data, complete the following checklist and use it to run the conversion software

 described in Section 2. If you are a State DBA you may have to send the completed

 checklist to the Regional DBA and have him or her run the conversion.  See your

 Regional DBA for more information.


   1. Output Destination      	

      This is the printer where the PMT Conversion reports will be sent, i.e., N7,

      RMT255, etc.


   2. Bin Number

      This is the additional from character code that determines where the report

      listing is put by the printer operator, i.e., D142, MMRH, etc.


   3. FIMASID	

      The FIMAS code for accounting purposes


   4. State Code

      The two character state abbreviation for the state being extracted.
System Startup Guide
A-4
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          CM&E Conversion Checklist

          If you want to use the HWDMS CM&E data to initialize the RCRIS CM&E module
          data, complete the following checklist and use it to run the conversion software
          described in Section 2. If you are a State DBA you may have to send the completed
          checklist to the Regional DBA and have him or her run the conversion.  See your
          Regional DBA for more information.

             1. Output Destination      	
                The printer where the CM&E  Conversion  reports will  be sent, i.e., N7,
                RMT255, etc.

             2. Bin Number      	
                The additional four character code that determines where the report listing is
                put by the printer operator, i.e., D142, MMRH, etc.

             3. FIMASID
                The FIMAS code for accounting purposes.
 •
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              4.  State Code
 •               The two character state abbreviation for the State being extracted.

 •            5.  Violation Class (1/2.3)
 ™               Enter 1 to convert only data related to Class 1 violations. Enter 2 to convert
I
                 data related to class 1 and 2 violations. Enter 3 to convert data related to Class
                 1, 2 and 3 violations.
              6.  Core/Non Core Indicator (Y/N)
                 Enter Y to convert core and  non-core  CM&E data elements.   Enter N to
 V              convert only core data elements.
             7.  Start Date for TSDS (default 10/01/87)	
                Date from which all business data trees will be converted.
             8.  Start Date for Unfinished Business (default 10/01/86)
                Date from which unfinished business data tress will be converted.
•        System Startup Guide                 A-5

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    9. Select all Generators (Y/N)

       Enter Y to convert data for all generators in the data base. Enter N to convert
       only data for those generators with land ban violations.


   10. Select Transporters (Y/N)

       Enter Y  to convert data for transporters.  Enter N to not convert data for

       transporters
System Startup Guide
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11
 Bulk Data Transfer/Copy Checklist


 You will need to use this checklist if any of the following condition apply:


   -  You wish to make a backup copy of the extract files. Use checklist A.


   -  You wish to move the extract files from the user account on which they were

      created to another account.  This would be necessary if you  wished to have

      the storage charges apply to the second account or if the RCRIS implementer

      platform is the mainframe but the conversion software was run in a  user

      account that is not where the RCRIS data base will reside. Use checklist A.


   -  Your RCRIS implementer platform is an LMF.  Use checklist B.


   -  Your RCRIS implementer platform is a PC but you wish to copy the extract

      files to an LMF before downloading them to the PC. Use checklist B.


      Once you  have  completed the appropriate checklist,  use it to run  the

      conversion software.  If you are a  State DBA you may have  to send the

      completed  checklist  to the Regional DBA  and have  him  or her run  the

      conversion software.  See your Regional DBA for more information.
System Startup Guide                A-7

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    Checklist A - Copy


    1. Input Account     	

      The seven character  mainframe  account number  where the extract  files

      reside.  If the  extract files have  not been  moved, it is the same account

      number where the conversion extract was run.


    2. Output Account   	

      The seven character mainframe account number where the extract files will

      be moved to must not be the same as the input account.


    3. State

      The two character abbreviation for  the state to which the data belongs.


    4. Database (S/R)

      Enter S if the implementer is the State.  Enter R if the implementer is the

      Region.
System Startup Guide
A-8
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            Checklist B

            1. Source Node TBDTRTP
               TBDTRTP is the correct response to this prompt.

            2. Destination Node
I               The list of choices is given in Section 2.2.3.2.  Select the destination code that
               applies to your LMF.

I          3. Source account   	
               The  seven character mainframe  account  number where  the  extract files
ft             reside. If the extract files have not been moved, it is the same as the account
               number where the conversion extract was run.
9
             4.  Destination account      ___
                The seven character account number on the LMF where the RCRIS data base
                will reside or from which the extract files will be downloaded to the PC.
 B          5. State
               The two character abbreviation for the State.

 ™          6. Database (S/R)
               Enter S if the implementer is the State.  Enter R if the implementer is the
               Region.
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jj       System Startup Guide                A-9
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                               APPENDIX B


                             HWDMS Reports
 The HWDMS reports for cleaning up data prior to conversion show potential

 errors in the HWDMS data in the area of notification, Part A, operating

 permit and closure event data. These reports are available on the

 RASMENU.  These reports are discussed in Section 1.3
System Startup Guide                  B-l

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•               COMPREHENSIVE NOTIFICATION, PART A/PART B REPORT
           This report is available on the OSW RASMENU under the RCRIS Data
•         Cleanup option. It can be run for a selected facility.
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•         System Startup Guide                B-2
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                    PART A/PART B PROCESS CODE COMPARISON REPORT
            This report is available on the OSW RASMENU under the RCRIS Data
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            Cleanup option. It can be run for a selected state.
•            Note that in the attached sample, the handler has C305 = D but does not have
            any disposal process codes submitted under the Part A.  This handler would
            not be in the disposal universe in RCRIS.
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            System Startup Guide                B-4
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                          OPERATING PERMIT CONSISTENCY REPORT

            The Operating Permit Consistency Report checks the permitting event data in
               Se
             the HWDMS C2000, C2100, and C2050 records. Only records with Handler
             Type (C2100) = P are checked in this report. This report is available on the
             IOSW RASMENU under the RCRIS Data Cleanup option.  It can be run for a
             selected state.


I
             The following Action Types are checked for errors in the record:

I            C2101        Description
                 01         Part B Application Called In
                 102         Part C  Application  Received
                 06         Application Determined To Be Complete
                 13         Public Notice Issued/ Intent to Deny
I               16         Final Permit Issued /Denied

            The withdrawal actions are counted in the total number of facilities, but are
•          not checked for errors.

m            C2101        Description
•               32         Permit Application Withdrawal  Request Determination
                 33         Permit Application Withdrawal Requested

•          The existence of action types 34 through 61 serves as a check of the processes requested or
            submitted.
            Following are the errors checked in the Operating Permit Consistency Report.
I

            II.   Duplicate Record Warning
                A record with the same action item and the same action date is flagged
                as a duplicate for action items 01, 02, and 06. A record with the same
•                action date, and the same status is flagged as a duplicate for action items
                13 and 16.


™          2.   Permit Action Date Is Missing
                Action Type 01 requires an action date.


—          3.   Previous Action Type Is Missing Action Date
•              Certain actions which have an action date require an action date for a
                previous action:
M                    Action Type 06  requires an action date  for 02;

            System Startup Guide                 B-6

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           Action Type 13 requires an action date for 06
                  (unless 13 status is ID or IT); and
           Action Type 16 requires an action date for 13.
     Permit Action Date And Due Date are Missing
     Action Types 02, 06,13 and 16 require either an action date or a due date.
     Preceding Action Date May Be > Current Action
     The dates for action types must be sequential, i.e., the action date for an
     02 must be prior to the action date for an 06.  However, because the
     action type sequence number is not checked in the program, the dates
     shown may be correct. At this time, we do not anticipate changing the
     program logic to check for sequence number errors.
6.    Status Code Is Invalid
      Action Type 13 requires DP, ID or IT (IT is no longer being entered).

      Action Type 16 requires PI, PD, PP, PJ, PG or IT, (IT is no longer being
     entered).

     NOTE: Although IT is no longer being entered, there are still over 600
     records that have a status of IT.
7.    Status Code Is Missing
     Action Types 13 and 16 require a status.
8.    Preceding Action Type Does Not Exist
     Certain action types require a preceding action:

       Action Type 06 requires an 02;
       Action Type 13 requires an 06 (unless 13 status is ID or IT);
       Action Type 16 requires an 13.
9.    Action Type 01 Exists But Processes Not Requested
     There is a valid 01 record but no hazardous waste management processes
     (C2052) have been submitted (C2051 = 'R').
10.  Action Type 02 Exists But Processes Not Submitted
System Startup Guide
B-7
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     There is a valid 02 record but no hazardous waste management processes
     (C2052) have been submitted (C2051 = 'S').
11.  Processed Have Been Requested But the Action Type of 01 and Action
     Types 34-61 Either Do Not Exist or Do Not Have an Action Date
     If processes have been requested, at a minimum there should exist a
     record of the Part B call-in mailing (01) or an action item between 34 and
     61.
12   Processes Have Been Submitted But The Action Type 02 And Action
     Types 34-61 Either Do Not Exist Or Do Not Have An Action Date
     Part B should have been received for processes to have been submitted.
13.   Processes Have Been Covered But The Action Type 16 Does Not Exist
     Processes cannot be covered unless EPA has first issued or denied a
     permit.
14.   Action Type 16 Exists But Processes Not Covered
     If Action Item 16 has an action date and the permit has not been denied,
     at least one waste management process must be covered by a facility
     permit.
15.   Part B (C314) Submitted But Action Type 02 (Part B Application
     Received) Is Missing
     If C314 is 7,8, or 9 indicating a Part B received for land disposal processes,
     the event must be recorded in action type 02.
16.  Part B (C314) Submitted But No Land Disposal Processes Found On
    Permit Processes Submitted
    If C314 is 7,8, or 9 indicating a Part B received for land disposal processes,
    land disposal waste management processes must be indicated in C2052.
17.   Part B (C314) Submitted But Action Type 02 Action Date Is Missing
     If both the C314 data and the C2101 data indicate that a facility has filed a
     Part B application, there must be an action date.
18.  Process Was Covered But Not Submitted
    A process must be submitted before it can be covered.

System Startup Guide                 B-8

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System Startup Guide
B-9

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I

•                              CLOSURE CONSISTENCY REPORT


I           The Closure Consistency Report checks the closure event data in the
*           HWDMS C2000, C2100, and C2050 records. Only those records with Handler
             Type (C2100) = C and L are checked in this report.  This report is available on
•           the OSW RASMEXU under the RCRIS Data Cleanup option.  It can be run
™           for a selected state.


I
—           The following Action Types are checked for errors in the record:

             Closure (C2001 = C)
               IC2101        Description
                 03         Closure Plan Received
                 06         Public Notice of Closure
•               10         Closure Plan Approved

             Post-Closure (C2101 = L)
               IC2101        Description
                 03         Post-Closure Plan Received
                 06         Public Notice of Post-Closure
•               10         Post-Closure Plan Approved

             Following are the errors checked in the Closure Consistency Report.

*           1.   Action Date Is Missing
                 The action types require an action date.


_           2.   Preceding Action Date May Be > Current Action
•               Action types must be sequential.


£           3.   Duplicate Record Warning
                 A record with the same action item and the same action date is flagged as
I                 a duplicate.
                 A record with the same action item without a date is flagged as a
                 duplicate.

I
             4.   Preceding Action Type Does Not Exist
•                 Certain action types require a preceding action:
                  Action Type 06 requires an 03; and;
                  Action Type 10 requires an 06.

™           System Startup Guide                 B-10


I

-------
 5.   Status Code Is Invalid
     Post-Closure
       Action Type 03 requires a status of CL;
       Action Type 06 requires a status of CL; and
       Action Type 10 requires a status of CL, MO, or ME.
6.   Status Code Is Missing
     Post-Closure
      Action Type 03 requires a status of CL;
      Action Type 06 requires a status of CL; and
      Action Type 10 requires a status of CL, Mo, or ME.
7.   Action Type 03 Exists But No Processes Submitted
     A closure plan covers particular processes.  If no process codes are
     indicated as submitted for a particular closure plan, this error message
     occurs.
8.   Action Type 10 Exists But No Processes Covered
     A closure plan covers particular processes.  If no process codes are
     indicated as covered on the approved plan, this error message occurs.
9.   P33 Exists But L03 And C03 Are Missing
     An Action Item 33 in the Permit Data with a status code of FC indicated
     that facility has requested to withdraw from the permit process.  A
     facility needs to submit a closure plan in either the closure or post-
     closure data.  Closure plan received is indicated by a 03 action item in
     either the C (Closure) header or the L (Post-closure) header.
10.   P32 Exists But L10 OR CIO Are Missing
     An Action Item 32 in the Permit Data with a status code of AR indicates
     that a facility's request to withdraw from the permit process has been
     approved. This should only happen after a closure plan has been
     approved for the facility. An approved plan is indicated by a Action Type
     10 in either the C (Closure) header or the L (Post-closure) header.
System Startup Guide
B-ll
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-------
                      PERMIT CLOSURE REPORT

 This report is run on the OSW RASMENU under the RCRIS Data Cleanup
 option. It can be run for a selected State.
System Startup Guide
B-13
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             BLANK AND INVALID DATA ITEMS REPORT

 This report is run on the OSW RASMENU under the RCRIS Data Cleanup
 option. It can be run for a selected State.
System Startup Guide
B-15
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-------
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I                                           APPENDIX C
•                                  Detailed Technical Specifications
                             (From the Conversion Technical Specifications)
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              System Startup Guide                 C-l
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                                  NOTE
 Listed below are two revisions for the HWDMS/CARS - RCRIS

 CONVERSION/CLEANUP GUIDANCE that will be included in the next edition of

 the System Startup Guide, but are pressing and should be observed.


 •      In the guidance for the Handler data conversion the Receipt Date data element (page

       3-14) is described as being a member of the Handler 2 file Source segment, when is

       actually the only member of Handler 2 file Receipt segment.


 •     The the correct conversion rule for the Generator RCRA Regulatory Status

      Description (page 3-17) is reflected below:


 RCRIS Elements      HWDMS     Rules              Cleanup Guidance
 	  	Elements
Generator RCRA      C303       If C301=1  Set to 8
Regulatory  Status                If C303=4  Set to 1
Description                       If C303=9  Set to 7
                                   Else Set to Blank
System Startup Guide                  C-2
-------
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 PMTICLIPC Event Matrix

 Note: This table is used to convert the HWDMS action items and associated data from HWDMS to
 RCRIS.  In some cases, the status codes are changed to new values in RCRIS.  The rest of the
 data for an action item is convened according to the conversion rules given previously in this
 document.

 This table shows exactly which core action items and status codes are converted. Any acdon item
 in HWDMS with a status other than one of the ones listed below is not converted to RCRIS. Any
 action item in HWDMS that is not listed below is converted to the 400 series of data with the status
 code unchanged For example in the P header (C2001 = P), an action item 02 with a status code of
 IT would not be converted. It is not one of the valid status codes for action item 02. However,
 action item 03 in the P header would be convened to 403 and the status code would be unchanged
 because 03 is not a core action item for P header data.

 There are two cleanup issues as a result of this conversion rule. First any data in HWDMS with
 invalid status codes will be 'cleaned up' automatically in the conversion since they will be left
 behind in HWDMS. Therefore, any events that should be brought  over to RCRIS must be
 reviewed to ensure that they have the correct status. In some cases, a valid value for the status
 code is a blank in the field.  In the list below, this is indicated with the word 'blank'.  The 'blank'
 status code in HWDMS may be convened to a 'blank* in RCRIS or some other value. The RCRIS
 value is shown in the RCRIS Event Status Code column below.

Second, any events not on the following matrix will convert to the 400 series events. The event
description table will be loaded with the 400 series events and their description according to the
HWDMS event from which the event was convened. This will cause problems where different
headers in HWDMS use die same number for different events. For example, under the C and L
headers the description for event 07 is  "Public hearing held." For the W header, the description for
event 07 is "Project decision schedule  issued." None of these events are key events. Therefore
they would all convert to 407 in RCRIS. Since the event description table can have only one
description for event 407, some events will have an incorrect description. All 400 series events
will require post-conversion review and cleanup.
Conversion Technical Specifications
3-30-
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i
i
i
i
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 PMT/CL/PC Event  Matrix (continued)

 If Header Type (C2001) = P, W, R or M Core Events (* note exception for M action item 02 at
 end of table)
                HWDMS
                         RCRIS
          Action
          hern

          01
          02
          02
          02
          02
          10
          11
          04
          05
          05
          05
          37
          68
          70
          72
          74
          38
          38
          38
          69
          69
          69
          71
          71
          71
          73
          73
          73
          75
          75
          75
          06
          13
          13
          15
          15
Status
Code

blank
blank
CS
CR
CU
blank
blank
blank
blank
CO
IN
blank
blank
blank
blank
blank
AR
DR
RW
AR
DR
RW
AR
DR
RW
AR
DR
RW
AR
DR
RW
blank
DP
ID
blank
IP
Event
Code

010
020
020
020
020
070
090
100
110
110
110
120
120
120
120
120
140
141
142
140
141
142
140
141
142
140
141
142
140
141
142
150
160
160
170
170
Event Status
Code

blank
blank
CS
CR
CU
blank
blank
blank
blank
CO
IN
01
02
03
04
05
01
01
01
02
02
02
03
03
03
04
04
04
05
05
05
blank
DP
ID
blank
IP
Conversion Technical Specifications
              3-31
-------
 PMTICLIPC Event Matrix (continued)


 If Header Type (C2001)« P, W, R or M Core Events (* note exception for M action item 02 at
 end of table)
                HWDMS
                        RCRIS
          Action
          Item

          15
          33
          33
          33
          33
          33
          33
          32
          32
          32
          16
          16
          16
          16
          16
          18
          19
          19
          19
          20
          20
          20
          20
          20
          20
          22
          36
Status
Code

PN
FC
FE
LN
NW
or
SQ
DR
AR
FE
PD
PG
PI
PJ
PP
blank
RD
DI
RC
AC
CA
GW
MD
OH
RW
blank
blank
Event
Code

170
180
180
180
180
180
180
190
190
190
200
200
200
200
200
210
220
220
220
240
240
240
240
240
240
260
270
Event Status
Code

PN
FC
FE
LN
NW
OT
SQ
DR
AR
FE
PD
PG
PI
PJ
PP
blank
RD
DI
RC
AC
CA
GW
MD
OH
RW
blank
blank
If Header Type (C2001) = M the following exception to the above list applies

               HWDMS                          RCRIS
         Action
         fern

         02
Status
Code

blank
Event
Code

230
Event Status
Code

blank
Conversion Technical Specifications
             3-32
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-------
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 If Header Type (C2001) = P, W R or M — Non Core Events

                HWDMS                          RCRIS
          Action
          Item

          03
          03
          03
          07-09
          12
          12
          12
          12
          14
          14
          14
          14
          14
          14
          14
          14
          17
          21
          23
          24
          24
          24
          24
          25
          25
          25
          26-27
          28
          28
          28
          29,31
          34-35
Status
Code

blank
CO
IN
blank
MT
MN
RQ
blank
blank
EP
ST
LO
LE
CI
IY
AP
blank
blank
blank
blank
TP
CP
NR
blank
EG
ED
blank
blank
PT
PE
blank
blank
Event
Code

403
403
403
407-409
412
412
412
412
414
414
414
414
414 .
414
414
414
417
421
423
424
424
424
424
425
425
425
426-427
428
428
428
729,431
434-435
Event Status
Code

blank
CO
IN
blank
MT
MN
RQ
blank
blank
EP
ST
LO
LE
CI
IY
AP
blank
blank
blank
blank
TP
CP
NR
blank
EG
blank
blank
PT
PE
blank
blank
Conversion Technical Specificadons
              3-33
-------
 If Header Type (C2001) = P, W R or M — Non Core Events

                HWDMS
                         RCRIS
          Action
          Item

          39
          39
          39
          40-42
          43
          43
          43
          44
          44
          44
          45
          46,48
          46,48
          46,48
          46,48
          47,49
          47,49
          47.49
          50
          50
          50
          50
          50
          51-53
          54
          54
          54
          55
          55
          55
          56
          57
          57
          57
 Status
 Code

 blank
 ES
 NS
 blank
 blank
 CO
 IN
 blank
 YE
 NO
 blank
 blank
 YE
 NO
ON
 blank
 YE
 NO
 blank
00
LI
 PC
QC
blank
blank
RN
RX
blank
IF
IB
blank
blank
RP
RO
Event
Code
439
439
439
440-442
443
443
443
444
444
444
445
446,448
446,448
446,448
446,448
447,449
447,449
447,449
450
450
450
450
450
451-453
454
454
454
455
455
455
456
457
457
457
Event
Code
blank
ES
NS
blank
blank
CO
IN
blank
YE
NO
blank
blank
YE
NO
ON
blank
YE
NO
blank
OO
LI
PC
QC
blank
blank
RN
RX
blank
IF
IB
blank
blank
RP
RO
Conversion Technical Specifications
              3-34
I
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-------
I
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I
I
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I
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I
I
 rf Header Type (C2001) = P, W R or M — Non Core Events

                HWDMS                          RCRIS
          Action
          Item

          58
          58
          58
          58
          59-62
          63
          63
          63
          63
          63
          63
          63
          64-68
          76
          76
          76
          77-79
          80-99
Status
Code

blank
CX
CB
CF
blank
blank
DM
DO
PC
OC
XA
OA
blank
blank
AG
AH
blank
blank
 Event
'Code

 458
 458
 458
 458
 459-462
 463
 463
 463
 463
 463
 463
 463
 464-468
 476
 476
 476
 477-479
 480-499
Event Status
Code

blank
CX
CB
CF
blank
blank
DM
DO
PC
OC
XA
OA
blank
blank
AG
AH
blank
blank
Conversion Technical Specifications
             3-35
-------
 PMTICLIPC Event Matrix (continued)

 If Header Type (C2001) = C Core Events

                HWDMS
          Action
          Item

          03
          09
          06
          07
          10
          10
          10
          12
          12
          12
          15
Status
Code

blank
blank
blank
blank
blank
ME
MO
blank
YE
NO
blank
If Header Type (C2001) = L Core Events

                HWDMS
         Action
         Item

         03
         03
         03
         09
         09
         09
         06
         06
         06
         07
         07
         07
         10
         10
         10
         10
         10
         14
         14
         14
         14
         19
         20
Status
Code

blank
CL
PC
blank
CL
PC
blank
CL
PC
blank
CL
PC
blank
MF
ME
MO
MP
blank
YE
NO
PC
blank
blank
Event
Code

310
330
340
350
360
360
360
370
370
370
380
Event
Code

310
310
310
330
330
330
340
340
340
350
350
350
360
360
360
360
360
370
370
370
370
380
381
                         RCRIS
                         RCRIS
Event Status
Code

blank
blank
blank
blank
blank
ME
MO
blank
YE
NO
blank
Event Status
Code

blank
CL
PC
blank
CL
PC
blank
CL
PC
blank
CL
PC
blank
MF
ME
MO
MP
blank
YE
NO
PC
blank
blank
Conversion Technical Specifications
              3-36
I
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I
I
I
I
I
I
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I
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I
-------
I
I
I
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 If Header Type (C2001) = L Non Core Events

                 HWDMS
          Action
          Item

          01
          02
          04-05
          04-05
          04-05
          08-09
          08-09
          08-09
          11
          11
          11
          13
          13
          13
          15-18
          80-99
Status
Code

blank
blank
blank
CL
PC
blank
CL
PC
blank
YE
NO
blank
YE
NO
blank
blank
If Header Type (C2001) = C Non Core Events

                HWDMS
          Action
          Item

          01-02
          04-05
          08
          11
          11
          11
          13-14
          80-99
Status
Code

blank
blank
blank
blank
YE
NO
blank
blank
                          RCRIS
Event
Code
401
402
404-405
404-405
404-405
408-409
408-409
408-409
411
411
411
413
413
413
415-418
480-499
Event
Code
blank
blank
blank
CL
PC
blank
CL
PC
blank
YE
NO
blank
YE
NO
blank
blank
                         RCRIS
Event
Code

401,402
404-405
408
411
411
411
413-414
480-499
Event Status
Code

blank
blank
blank
blank
YE
NO
blank
blank
Conversion Technical Specifications
              3-37
-------
 3.1.3   CM&E DATA INITIALIZATION  RULES


 The following pages present the data initialization rules for Compliance Monitoring and

 Enforcement (CM&E).  RCRIS Fields which do not have a HWDMS equivalent field nor special

 conversion rules will be initialized to blanks or zeros.  RCRIS fields having a HWDMS equivalent

 will be initialized to the  HWDMS values unless special conversion rules apply.
Conversion Technical Specifications
3-38'
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 The following pages present the data initialization rules for Corrective Action (CA). RCRIS fields
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-------
 3.2     FLAT FILE  SPECIFICATIONS


 The following pages present the flat file specifications for the output files. Note that these

 specifications include only those fields that are convened. If the requirement is made to include all

 RCRIS fields in the flat fUe so that conversion flat files conform to the translator flat file

 speculations, this section will be changed to reflect that requirement.
Conversion Technical Specifications
3-60
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                       FLAT FILE SPECIFICATIONS
 Record  Layout:  Handler Identification Module
 File Name:
 File Desc:
 Record  Size:
 System  Id:

 FIELDNAME

 HID.NUM
 HHANDLER
 HTSD_EX_DATE
 HOFF SITE
 HLOC.COUNTY
 HLOC_CNTY_CD
 HNON.NOTDF
 HLOCSTRT1
 HLOC_CITY
 HLOC STATE
 HLOC ZIP
 HMA1LSTRT1
 HMAIL.CrTY
 HMAIL.STATE
 HMAIL.ZIP
 HLEG DIST
 HLAND
 HRTVER.B
 HLATITUDE
 HLONGTTTUDE
 HLONGLAT S
HANDLER 1
Facility names, addresses, latitude, and longitude
245 Characters
RCRIS
       No. OF CHAR

            12
            40
             8
             1
            25
             3
             1
            30
            25
             2
             9
            30
            25
             2
             9
            10
             1
             6
             7
             8
             1
Record Layout:
File Name:
File Desc:
Record Size:
System Id:

FIELDNAME

HID NUM2
HCONT TYPE
HCONT'LAST
HCONT.FIRST
HCONTjnTLE
HCONTJ>HONE

  * - Key Fields
Handler Identification Module
HANDLER2
Contact person
57 Characters
RCRIS

       No. OF CHAR

            12
            2
            15
            15
            15
            10
FORMAT

Alphanumeric  *
Alphanumeric
MMDDYYYY
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
FORMAT

Alphanumeric  *
Alphanumeric  *
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Conversion Technical Specifications
                   3-61
-------
                       FLAT FILE SPECIFICATIONS
 Record  Layout:  Handler Identification Module
 File Name:
 File Desc:
 Record  Size:
 System  Id:

 FIELDNAME

 HID_NUM2
 HCCLSEQ
 HCCLIND
 HCO.TYPE
 HCO DATE
 HCO.NAME
 HCO.PHONE
 HCO STREET
 HCCLCITY
 HCO_ST
 HCO.ZIP
Record Layout:
File Name:
File Desc:
Record Size:
System Id:

FIELD NAME

HID_NUM2
HSIC.SEQ
HSIC.PRIM
HSIC.CODE
HSIC_SOURC
Record Layout:
File Name:
File Desc:
Record Size:
System Id:

FIELDNAME
HANDLERS
Owner/Operator names & addresses
142 Characters
RCRIS

       No. OF CHAR
                          FORMAT
12
4
2
2
6
40
10
30
25
2
9
Alphanumeric *
Numeric *
Alphanumeric
Alphanumeric
MMDDYY
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Handler Identification Module
HANDLER4
SIC Codes
142 Characters
RCRIS




       No. OF CHAR

           12
            4
             1
            4
             1
Handler Identification Module
HANDLERS
Permit numbers
26 Characters
RCRIS

       No. OF CHAR
                          FORMAT

                          Alphanumeric  *
                          Numeric      *
                          Alphanumeric
                          Numeric
                          Alphanumeric
HID NUM2                  12
HPERMTT NUM              13
HPERMTTJTYPE               1

  * - Key Fields
Conversion Technical Specifications
                          FORMAT

                          Alphanumeric  *
                          Alphanumeric  *
                          Alphanumeric
                   3-62
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FLAT FILE SPECIFICATIONS
Record Layout:
File Name:
File Desc:
Record Size:
System Id:
FIELDNAME

HID NUM2
HWA SRC
HREC.DATE
Record Layout:
File Name:
File Desc:
Record Size:
System Id:
FIELD NAME
HID NUM2
HWA.SRC
HCOMMEN1 5EQ
HCOMMENT
* - Key Fields







Handler Identification Module
HANDLER6
Notification and pan A dates
19 Characters
RCRIS
No. OF CHAR

12
i
6
Handler Identification Module
HANDLER?
Facility comments
57 Characters
RCRIS
No. OF CHAR
12
1
4
40











FORMAT

Alphanumeric *
Alphanumeric *
MMDDYY *





FORMAT
Alphanumeric *
Alphanumeric *
Numeric *
Alphanumeric








Conversion Technical Specifications 3-63



-------
Record Layout:
File Name:
File Desc:
Record Size:
System Id:

FIELDNAME
                      FLAT FILE SPECIFICATIONS
Handler Identification Module
HANDLERS
Activity data
60 Characters
RCRIS
HID NUM2
HWA_SRC
HGEN
HTRANS
HTSD
HBBL
HHWF.MARKBURN
HHWF.OTHMARK
HHWF.BURNER
HOUO MARKBURN
HOUO.OTHMARK
HOUO.BURNER
HSUO
HUTILBOILL
HINDBOIL
HINDFURN
HAIR
HHIGHWAY
HWATER
H_OTH_TRANS
HRCRA_D_GEN
HRCRA_D_TSD
HRCRA S_GEN
HRCRA S_TRA
HRCRA.S TSD
HRCRA.S BBL
       No. OF CHAR

           12
            1
            2
            1
            1
            I
            1
            1
            1
            1
            1
            1
            1
            1
            1
            1
            1
            I
            1
           20
            2
            2
            1
            1
            1
            1
  * - Key Fields
FORMAT

Alphanumeric *
Alphanumeric *
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Conversion Technical Specifications
                  3-64
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                       FLAT FILE SPECIFICATIONS
 Record Layout:  Handler Identification Module
 File Name:
 File Desc:
 Record Size:
 System Id:

 FIELDNAME

 HJD.NUM2
 HWA_SRC
 HWASTE  STRNG
 HWASTE AMT
 HWASTE AMTT
 HWASTE DATE
HANDLER9
Waste amounts
49 Characters
RCRIS
       No. OF CHAR

            12
             I
             4
            13
            13
             6
 Record  Layout:
 File Name:
 File Desc:
 Record  Size:
 System  Id:

 FIELDNAME

 HE) NUM2
 HWA_SRC
 HWASTE STRNG
 HWASTE CODE
Handler Identification Module
HAND 10
Waste codes
21 Characters
RCRIS

       No. OF CHAR

            12
             1
             4
             4
Record Layout:
File  Name:
File  Desc:
Record Size:
System Id:

FIELD NAME

HID  NUM2
HWA.SRC
HWASTE STRNG
HWST PROC
Handler Identification Module
HAND10A
Waste processes
20 Characters
RCRIS

       No. OF CHAR

            12
             1
            4
            3
   * - Key Fields
Conversion Technical Specifications
FORMAT
Alphanumeric  *
Alphanumeric  *
Numeric      *
9(9).9(3)
9(9).9(3)
MMDDYY
FORMAT

Alphanumeric  *
Alphanumeric  *
Numeric      *
Alphanumeric  *
FORMAT

Alphanumeric  *
Alphanumeric  *
Numeric      *
Alphanumeric  *
                   3-65
-------
                       FLAT  FILE SPECIFICATIONS
 Record Layout:  Handler Identification Module
 File Name:
 File Desc:
 Record Size:
 System Id:

 FIELDNAME

 HID_NUM2
 HWA.SRC
 HPROC
Record Layout:
File  Name:
File  Desc:
Record Size:
System Id:

FIELDNAME

FUD_NUM2
HWA SRC
HPROC
HPROC.ATT
HPROC STATUS
HPROC UOM
HPROC_AMT
HPROC_DATE
HAND11
Capacity processes
16 Characters
RCRIS
       No. OF CHAR

            12
             1
             3
FORMAT

Alphanumeric *
Alphanumeric *
Alphanumeric *
Handler Identification Module
HAND 12
Capacity amounts, units and status
40 Characters
RCRIS

       No. OF CHAR

            12
             1
             3
             2
             1
             1
            14
             6
FORMAT

Alphanumeric  *
Alphanumeric  *
Alphanumeric  *
Alphanumeric  *
Alphanumeric
Alphanumeric
9(10).9(3)
MMDDYY
Record Layout:  Permitring/CIosure/Post-Closure Module
File Name:
File Desc:
Record Size:
System Id:

FIELDNAME
PCAP.AMT
PCMEASURE
FILLER
PU_ACT_TRACK

  * - Key Fields
PERMITl
Process code, amount and unit
119 Characters
RCRIS

       No. OF CHAR

            27
            14
             1
            75
             2
FORMAT

Alphanumeric *
9(12).9(2)
Alphanumeric
Alphanumeric
Alphanumeric
Conversion Technical Specifications
                    3-66
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                       FLAT FILE SPECIFICATIONS
 Record Layout:  Perrrtitting/Closiire/Post-Closure Module
 File Name:      PERMTT2
 File Desc:       Activity, events and other related fields
 Record Size:    228 Characters
 System Id:      RCRIS

 FIELDNAME           No. OF CHAR         FORMAT

 PHID_NUM                 12              Alphanumeric *
 PSEQ.NUM                  2              Numeric     *
 PAPP_NUM                 12              Alphanumeric
 FILLER                    11              Alphanumeric
 PEVENT.CODE               5              Alphanumeric *
 PRESP.AGENCY             1              Alphanumeric *
 PE.SEQ                     2              Numeric     *
 PEV.KEY                  22              Alphanumeric
 FILLER                     5              Alphanumeric
 PORIGPLAN                 6              MMDDYY
 PSCHEDULE                 6              MMDDYY
 PACTUAL                   6              MMDDYY
 PE_STATUS                  2              Alphanumeric
 PE.COMMENT              72              Alphanumeric
 FILLER                    64              Alphanumeric
Record Layout:  Permitting/Closure/Post-Closure Module
File  Name:      PERMITS
File  Desc:       Links between units and events
Record Size:     49 Characters
System Id:      RCRIS

FIELDNAME            No. OF CHAR        FORMAT

PHID.NUM                 12             Alphanumeric
PSEQ.NUM                  2             Numeric
PEVENT.CODE               5             Alphanumeric
PRESP_AGENCY              1             Alphanumeric
PE.SEQ                     2             Numeric
PUNITJjROUP              27             Alphanumeric
  * - Key Fields
Conversion Technical Specifications        3-67
-------
 Record Layout:
 File Name:
 File Desc:
 Record Size:
 System Id:

 FIELDNAME

 HEPAJD
 CE.NUM
 CE_AGENCY
 CE_EVAL_KEY
 CE DATE
 CEJTYPE
Record Layout:
File  Name:
File  Desc:
Record Size:
System Id:

FIELDNAME

HEPAJD
CE_NUM
CE AGENCY
CE_VIOL_L
Record Layout:
File Name:
File Desc:
Record Size:
System Id:

FIELDNAME

HID.NUM
TX.MODULE
TX DATE
TXJJNE
                       FLAT FILE SPECIFICATIONS
                Compliance Monitoring and Enforcement Module
                CME1
                Evaluation data
                53 Characters
                RCRIS
                       No. OF CHAR

                            12
                            9
                             1
                            22
                            6
                            3
        FORMAT

        Alphanumeric  *
        Numeric      *
        Alphanumeric  *
        Alphanumeric
        MMDDYY    *
        Alphanumeric
                Compliance Monitoring and Enforcement Module
                CME1A
                Evaluation/Violation links
                39 Characters
                RCRIS
                       No. OF CHAR

                            12
                            9
                             1
                            17
        FORMAT

        Alphanumeric  *
        Numeric      *
        Alphanumeric  *
        Alphanumeric  *
                Compliance Monitoring and Enforcement Module
                CME1B
                Summary File Data
                93 Characters
                RCRIS
                       No. OF CHAR

                           12
                             1
                            6
                           74
        FORMAT

        Alphanumeric
        Alphanumeric
        Alphanumeric
        Alphanumeric
Conversion Technical Specifications
3-68
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FLAT FILE SPECIFICATIONS
Record Layout: Compliance Monitoring and Enforcement Module
File Name: CME1C
File Desc: Evaluation Coverage Area
Record Size: 92 Characters
System Id: RCRIS
FIELD NAME No. OF CHAR

HEPA ID 12
CE.NUM 9
CE AGENCY - 1
CE EVAL KEY 22
CE AREA 3
CE STATUS 2
CE.MDESC 40




FORMAT

Alphanumeric *
Alphanumeric *
Alphanumeric *
Alphanumeric
Alphanumeric
Alphanumeric
Alphanumeric
Record Layout: Compliance Monitoring and Enforcement Module
File Name: CME2
File Desc: Violation data
Record Size: 95 Characters
System Id: RCRIS
FIELD NAME No. OF CHAR

HEPA ID 12
CEV VIOL KEY 17
CEV.AREA 3
CEV DTEDET 6
CEV CLAS 1
CEV.ACT DTE 6
CEV SCH DTE 6
CEV EVAL KEY 22
CEV_ENF_KEY 22
* - Key Fields



FORMAT

Alphanumeric *
Alphanumeric *
Alphanumeric
MMDDYY
Alphanumeric
MMDDYY
MMDDYY
Alphanumeric
Alphanumeric

g Record Layout: Compliance Monitoring and Enforcement Module

§"


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1

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File Name: CME2B
File Desc: Violation/Enforcement Links
Record Size: 39 Characters
System Id: RCRIS
FIELD NAME No. OF CHAR

CEV V10LJCEY L 17
CEV_ENF_NUM-L 22

-
Conversion Technical Specifications 3-69

.



FORMAT
Alphanumeric
Alphanumeric




-------


FLAT FILE SPECIFICATIONS
Record Layout: Compliance Monitoring and
File Name: CME3
File Desc: Enforcement data
Record Size: 73 Characters
System Id: RCRIS
FIELD NAME No. OF CHAR
HEPA ID 12
CEE ENF NUM 9
CEEL ENF AGGY 1
CEE_ENF_KEY 22
CEE ACT DTE 6
CEE.ACT TYP 3
CEE.ASSESSD 10
CEE_SETTLEM 10
Record Layout: Compliance Monitoring and
File Name: CME3A
File Desc: Enforcement/Violation links
Record Size: 39 Characters
System Id: RCRIS
FJELDNAME No OF CHAR

HEPA ID 12
CEE ENF NUM 9
CEE.ENF AGCY 1
CEE.VTOL 17

* - Key Fields





Enforcement Module



FORMAT
Alphanumeric *
Numeric *
Alphanumeric *
Alphanumeric
MMDDYY
Alphanumeric
Numeric
Numeric
Enforcement Module


FORMAT

Alphanumeric *
Numeric *
Alphanumeric *
Alphanumeric *







Conversion Technical Specifications 3-70


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                            APPENDIX D
    HWDMS Data Elements and the Corresponding RCRIS Data Elements



This appendix contains a list of the HWDMS data elements and their

corresponding RCRIS data elements. Not all HWDMS data elements have a

corresponding data element in RCRIS.  For those elements, an N/A has been

entered into the RCRIS column. This list should be used with Appendix C in

determining what data elements convert from HWDMS and how they are

converted.  Appendix C is orderd by RCRIS module and the location of the

data element in the corresponding RCRIS file. The list in this appendix is

ordered by the HWDMS data element number.
System Startup Guide                D -1
-------
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HWDfr
HWD*
a
a
C101
C102
C104
C105

C106
C107
C108
C109
C110
cm
C112
cm
C114
C115
C116
C117
C118
C119
C120
C201
System I
HWDMS Data Elements and the Corresponding RCRIS Data Elements

         Data Element                 RCRIS Data Element
  Q  - Region Code

  C2  - State Code


C101  - EPA ID Number



      - Type of Facility
       Owner/Operator

      - Name of Facility

      - Contact Name/Position


      - Mailing Address Street

      - Mailing Address City

      - Mailing Address State Code

      - Mailing Address Zip Code

      - Facility Street

      - Facility City

      - Facility Zip Code

      - Contact Telephone Number

      - County Code

      - State District Code

      - River Basin Code

      - Latitude

      - Longitude

      - TSD Facility Status Indicator

      - Confidentiality Flag

      - Existence Date
                                       Region Code

                                       Location State, Contact State, Permit
                                       Authority, Event Responsible Person

                                       ID Number, Enforcement Key,
                                       Evaluation Key, Event Segment Key,
                                       Violation Control Number

                                       Type of Owner/Operator,
                                       Owner/Operator Sequence No.

                                       Handler Name

                                       Contact Last Name, Contact First
                                       Name

                                       Contact Street 1, Mailing Street 1

                                       Mailing City, Contact City

                                       Contact State, Mailing State

                                       Contact Zip Code, Mailing Zip Code

                                       Contact Street 1, Location Street 1

                                       Contact City, Location City

                                       Contact Zip, Location Zip

                                       Contact Phone

                                       County Code

                                       Legislative District

                                       River Basin Code

                                       Site Latitude

                                       Site Longitude

                                       N/A

                                       N/A

                                       Existence Date
                                   D-2
-------
HWDMS Data Elements and the Corresponding RCRIS Data Elements *
HWDMS Data Element
C202 - Date of Last Update
C203 - Closure Date
C204 - Owner/Operator Status
C210 - Indian Land Indicator

C211 - Nature of Business Indicator
C212 - Drawing Indicator
C213 - Photographs Indicator
C214 - Map Indicator
C215 - Parent Organization Duns ID
Number
C216 - County Name

C219 - Major RCRA Handler
Indicator
C222 - RCRA Program Indicator
(HWCTDB Facility)
C229 - Regional Data Element 1
C230 - Regional Data Element 2
C231 - Regional Data Element 3
C232 - Regional Data Element 4
C233 - Regional Data Element 5

C234 - Stock Ticker Symbol
C235 - State Authorization Indicator
C301 - Facility Modification Under
Construction Indicator
C302 - Commercial Facility Indicator


System Startup Guide D *

RCRIS Data Element
N/A
N/A
N/A
Type of Land

N/A
N/A
N/A
N/A
N/A

County Name

N/A

N/A

N/A
N/A
N/A
N/A
N/A

N/A
N/A
N/A

Off-Site Waste Receipt


3

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HWDMS Data Elements and the Corresponding RCRIS Data Elements
HVVDMS Data Element RCRIS Data Element

C303 - Non-Regulated Facility
Indicator






C304 - Region Flag
C305 - TSD Facility Type



C306 - Facility Free Field 2
C307 - Facility Free Field 3
C308 - Facility Free Field 4

C309 - Facility Free Field 5
C314 - Current Interim Status for
TSD Land Disposal Units
C1001 - Comments

C1002 - Comment Number
CHOI - Activity Code - Generator
Facility
C1102 - Activity Code - Transporter
Facility
C1103 - Activity Code -
Treatment/Storage/Disposal
Facility
C1104 - Activity Code - Underground
Injection Control
C1105 - RCRA Permit Application or
Permit Status



System Startup Guide D


Source, TSD Indicator, Generator
RCRA Regulatory Status Description,
TSD RCRA Regulatory Status
Description, Generator RCRA
Regulatory Status, Transporter RCRA
Regulatory Status, TSD RCRA
Regulatory Status, Burner/Blender
RCRA Regulatory Status
NVA
Source, TSD Indicator, TSD RCRA
Reg. Status Desc, TSD RCRA Reg.
Status

N/A
N/A
N/A

N/A
N/A

Comments

Comment Sequence Number
Generator Indicator, Source

Transporter Indicator, Source

N/A


N/A

Source, TSD Indicator, TSD RCRA
Reg. Status Desc., TSD RCRA Reg.
Status


-4

-------
 HWDMS Data Elements and the Corresponding RCRIS Data Elements

 HWDMS Data Element                 RCRIS Data Element
  C1110 - Activity Code - Market or
          Burn Hazardous Waste Fuel

  Cllll - Activity Code - Market or
          Burn Off-Spec Used Fuel Oil

  C1112 - Activity Code - Market or
          Bum Specification Oil

  C1121 - General Market to Burner
 C1122  - Activity Code - Hazardous
          Waste Fuel (Other Marketer)

 C1123  - Activity Code - Hazardous
          Waste Fuel (Burner)

 C1126  -. Activity Code - Off-Spec Oil
          (Generator Market to Burner)

 C1127  - Activity Code - Off-Spec Oil
          (Other Marketer)

 C1128  - Activity Code - Off-Spec
          Specification  Oil (Burner)

 C1131  - Activity Code - Burner Type
          (Utility Boiler)

 C1132  - Activity Code - Burner Type
          (Industrial Boiler)

 C1133  - Activity Code - Burner Type
          (Industrial Furnace)

 C12Q1  - Standard Industrial
          Classification Code

 C1301  - Environmental Permit Type

 C1302  - Environmental Permit
          Number

 C1401  - Transportation Mode (Air)

 C1402  - Transportation Mode (Rail)
    Burner/Blender Indicator
    Burner/Blender Indicator
    Specification Used Oil Marketing
    Indicator, Burner/Blender Indicator

    HWF Market to Burner Indicator,
    Burner/Blender Indicator

    HWF Other Marketer Indicator,
    Burner/Blender Indicator

    HWF Burner Indicator,
    Burner/Blender Indicator

    Off-Spec Market to  Burner Indicator,
    Burner/Blender Indicator

    Off-Spec Other Marketing Indicator,
    Burner/Blender Indicator

    Off-Spec (Used Oil) Burner Indicator,
    Burner/Blender Indicator

    Utility Boiler Indicator,
    Burner/Blender Indicator

    Industrial Boiler Indicator,
    Burner/Blender Indicator

    Industrial Furnace Indicator,
    Burner/Blender Indicator

    SIC Code
    Permit Type

    Permit Number


    Air Transportation Indicator

    Rail Transportation Indicator
System Startup Guide
D-5
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 HWDMS Data Elements and the Corresponding RCRIS Data Elements

 HWDMS Data Element                RCRIS Data Element
  C1403 - Transportation Mode (Road)

  C1404 - Transportation Mode (Water)

  C1405 - Transportation Mode (Other)

  C1503 - Facility Owner Name




  C1504 - Facility Owner Telephone
          Number


  C1505 - Facility Owner Street Address


  C1506 - Facility Owner City


  C1507 - Facility Owner State


  C1508 - Facility Owner Zip Code


  C1509 - Facility Operator Name
  C1510  - Facility Operator Telephone
          No.


  C1511  - Facility Operator Street
          Address


  C1512  - Facility Operator City


  C1S13  - Facility Opera tor State


  C1514  - Facility Operator Zip Code


  C1515  - Facility Alias Name


  C1521  - Previous Owner/Operator
          Type


  C1522  - Previous Owner/Operator
          Name


C1523 -  Previous Owner/Operator
          Telephone No.
     Road Transporation Indicator

     Water Transporation Indicator

     Other Transporation Indicator

     Owner/Operator Name,
     Owner/Operator Seq. Number,
     Owner/Operator Indicator

     Owner/Operator Phone



     Owner/Operator Street

     Owner/Operator City

     Owner/Operator State

     Owner/Operator Zip Code

     Owner/Operator Name,
     Owner/Operator Seq. Number,
     Owner/Operator Indicator

     Owner/Operator Phone



     Owner/Operator Street



     Owner/Operator City


     Owner/Operator State

     Owner/Operator Zip Code

     N/A


     Owner/Operator Indicator



     Owner/Operator Name



     Owner/Opera tor Phone
System Startup Guide
D-6
-------
 HWDMS Data Elements and the Corresponding RCRIS Data Elements

 HWDMS Data Element                RCRIS Data Element
 C1524 - Previous Owner/Operator
          Street Address

 C1525 - Previous Owner/Operator City

 C1526 - Previous Owner/Operator State

 C1527 - Previous Owner/Operator Zip
          Code

 C1528 - Previous Owner/Opera tor
          Existence Date

 C1529 - Previous Owner/Operator
          Sequence Number

 C1530 - Previous Owner/Operator EPA
          Identification Number

 C1601 - Notification Receipt Date

 C1602 - Part A Permit Receipt Date



 C1603 - Notification Acknowledgement
          Date

 C1604 - Interim Status Initial
          Acknowledgement Date

 C1605 -  Interim Status Phase II
          Acknowledgement Date

C1701 -  Waste Definition Existence Hag

C1801 -  Interim Status Capacity Process
          Code
C1802-



C1803-



C1804 -  Capacity Status Indicator
Interim Status Capacity Process
  Amount

Interim Status Capacity Unit of
  Measure
Owner/Operator Street



Owner/Operator City

Owner/Operator State

Owner/Operator Zip Code



Previous Owner/Operator Date



Owner/Operator Sequence Number



N/A



Receipt Date, Waste Date, Source

Receipt Date, Waste Date, Process
Report Date, Source

N/A



N/A



N/A



N/A

Process Code



Process Amount



Process Unit of Measure



Process Status Code, Source
System Startup Guide
                           D-7
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HWDMS
HWDMS
C2Q01 -


C2002 -



C2003 -

C2004 -
C2051 -

C2052 -

C2053 -

C2054 -

C2101 -

C2102 -

C2103 -

C2104 -

C2105 -

C2106 -

C2107 -

C2108 -


Data Elements and the Corresponding RCRIS Data Elements
Data Element
Permit Issuance/Closure
Process Header Type

Permit Issuance/Closure
Process Header Sequence
Number

Permit/Closure Action
Process Type
RCRA Permit Effective Date
Permit/Closure Process
Indicator
Permit/Closure Process Code

Permit/Closure Process
Amount
Permit/Closure Capacity Unit
of Measure
Permit Issuance/Closure
Process Action Item
Permit Issuance/Closure
Action Sequence Number
Permit Issuance/Closure
Process Key
Permit Issuance/Closure
Process Date Due
Permit Issuance/Closure
Process Action Date
Permit Issuance/Closure
Process Status
Permit Issuance/Closure
Process Responsible Person
Permit Issuance/Closure
Process Free Field 1

System Startup Guide D -


RCRIS Data Element
Current Activity Track, Permit Seq.
Number, Permit Processing Code,
Event Segment Key
Permit Sequence Number, Event
Segment Key


N/A

N/A
N/A

N/A

Process Design Capacity

Process Design Capacity Unit of
Measure
Permit Processing Code, Event
Segment Key
Event Sequence Number, Event
Segment Key
N/A

Scheduled Date of Event, Original
Scheduled Date of Event
Actual Date of Event

Event Status Code

Event Responsible Person

N/A


8

-------
HWDMS Data Elements and the Corresponding RCRIS Data Elements
HWDMS Data Element
C2109

C2110

C2111

C2112
C2113

C2114

C2115

C2201
C2251

C2252
C2301

C2302


C2303
C2311
C2312

C2313


C2314



- Permit Issuance/Closure
Process Free Field 2
- Permit Issuance/Closure
Process Free Field 3
- Permit Issuance/Closure
Process Free Field 4
- Permit Issuance/Closure
Process Free Field 5
- Permit Issuance/Closure
Process Free Field 6
- Permit Issuance/Closure
Process Responsible Agency
- Permit Issuance/Closure
Process Comment
- Permit-Closure-Link-To
- Permit Issurance Comment
Number
- Permit Issuance Comments
- Initial Evaluation Date

- State Reporting Evaluation
Sequence Number

- Initial Evaluation Link
- Type of Evaluation
- Sequence Number of
Subsequent Evaluation
- Date of Subsequent
Evaluation

- Responsible Agency For
Evaluation


System Startup Guide
RCRIS Data Element
N/A

N/A

N/A

N/A
N/A

Event Responsible Agency, Event
Segment Key
Event Comments

N/A
N/A

N/A
N/A

N/A


N/A
Type of Evaluation
N/A

N/A


Evaluation Responsible Agency,
Violation Crntrol Number,
Evaluation key

D-9
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HWDMS
HWDMS
C2315 -
C2316 -

C2317 -
C2318 -
C2319 -

C2321 -

C2322 -
C2331 -

C2332 -


C2333 -


C2334 -


C2335 -
C2336 -
C2337 -

C2338 -

C2339 -


C2340 -
C2341 -
C2342 -
C2343 -



Data Elements and the Corresponding RCRIS Data Elements
Data Element
Evaluation Responsible
Person /Branch
Evaluation Free Field 1

Evaluation Free Field 2
Evaluation Free Field 3
Evaluation Free Field 4

Evaluation Comment
Sequence Number
Evaluation Comment
Class of Violation

Indicator of Groundwater
Monitoring Violations

Indicator of Closure/Post-
Closure Violation

Indicator of Financial
Responsibility Violations

Indicator Part B Violations
Indicator of Compliance
Schedule Violations
Indicator of Manifest
Violations
Indicator of Other Violations

Land-Ban Violations


Class Inspection Free 2
Class Inspection Free 3
Violations Comment
Class Inspection Free

System Startup Guide D -


RCRIS Data Element
Evaluation Responsible Person
N/A

N/A
N/A
N/A

N/A

Narrative Line
Class of Violation

Priority Indicator, Coverage Area of
Violation, Area of Violation

Area of Violation


Area of Violation


Area of Violation
Area of Violation
Area of Violation

Area of Violation

Area of Violation, Priority Indicator,
Coverage Area of Evaluation

N/A
N/A
Violation Comment
N/A

10

-------
HWDMS Data Elements and the Corresponding RCRIS Data Elements
HWDMS Data Element
C2351

- Enforcement Action Class of
Violation
C2352 - Enforcement Action Area of
Violation
C2353

C2354

C2355
C2356
C2357
C2358
C2359
C2360

C2361
C2362
C2363

C2364

C2365
C2366
C2367

C2401

C2402


C2403


System
- Enforcement Action Record
Sequence Number
- Type of Enforcement Action

- Date of Action Taken
- Compliance Date Scheduled
- Compliance Date Actual
- Penalty Assessed
- Penalty Collected
- Responsible Agency for
Enforcement Action
- Enforcement by Class Free 1
- Enforcement by Class Free 2
- Enforcement Comment

- Enforcement Responsible
Person
- Enforcement Status Code
- Enforcement Status Date
• Enforcement Date Hearing
Commenced
- Action Event Type

- Header Type Sequence
Number

- Groundwater Monitoring
Status

Startup Guide D -
RCRIS Data Element
N/A

N/A
N/A

Type of Enforcement Action

N/A
Scheduled Response Date
Actual Resolved Date
N/A
N/A
Enforcement Responsible Agency,
Enforcement Key
N/A
N/A
Enforcement Comment 1, Comment
2
Responsible Person

N/A
N/A
N/A

N/A

N/A


N/A


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HWDMS Data Elements and the Corresponding RCRIS Data Elements
HWDMS Data Element

C2501 - Action Event Code

C2502 - Action Event Code Sequence
No.

C2503 - Action Event Key
C2504 - Action-Event Responsible
Agency
C2505 - Action-Event Responsible
Person
C2506 - Reports/Schedules/
Inspections Status
C2507 - Reports Waiver Status

C2508 -
Reports/Schedules/ Enforc
ement Date Due
C2509 - Reports/Schedules/
Enforcement Date Received
C2510 - Reports/Schedules Date
Action Due

C2511 - Reports /Schedules Date
Reviewed

C2512 - Enforcement Date Issued
C2513 - Enforcement Action - Event
Status Date
C2S14 - Enforcement- Action-Event
Status Code
C2515 - Inspection Start Date
C2516 - Inspection End Date
C2517 - Inspection Report Complete
Date
C2518 - Inspection Type

System Startup Guide D -

RCRIS Data Element

N/A

N/A


N/A
N/A
N/A
N/A

N/A

N/A


N/A

N/A


N/A


N/A
N/A

N/A

N/A
N/A
N/A

N/A

12

-------
HWDMS Data Elements and the Corresponding RCRIS Data Elements
HWDMS Data Element
C2519

C2520

C2521
C2522

C2S23

C2524
C2525
C2526
C2527
C2528

C2532
C2571

C2572

C2573

C2574
C2581

C2591

C2592

C2601


- Inspection Participating
Agency 1
- Inspection Participating
Agency 2
- Inspection Participating
Agency 3
- Inspection Participating
Agency 4
- Action Event Free Field 1

- Action Event Free Field 2
- Action Event Free Field 3
- Action Event Free Field 4
- Action Event Free Field 5
- Action Event Free Field 6

- Inspection Subport
- Action Event Date Hearing
Commenced
- Action Event Date Hearing
Completed
- Enforcement Penalty
Assessed
- Enforcement Penalty .
Collected
- Enforcement/
Schedule/Inspection Link to
- Action Event Comment
Number
- Action Event Comment

- GWM/Closure/Post-Closure
Action Event Code

System Startup Guide D -
RCRIS Data Element
N/A

N/A

N/A
N/A

N/A

N/A
N/A
N/A
N/A
N/A

N/A
N/A

N/A

N/A

N/A
N/A

N/A

N/A

N/A


13
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               HWDMS Data Elements and the Corresponding RCRIS Data Elements

-             HWDMS Data Element                RCRIS Data Element


^              C2602  - GWM/Closure/Post-Closure     N/A
•                      Action Event Key

                C2603  - GWM/Closure/Post-Closure     N/A
It                      Responsible Agency

                C2604  - GWM/Closure/Post-Closure     N/A
fl                      Responsible Person

                C2605  - GWM/Closure/Post-Closure     N/A
M                      Evaluation Flag

*              C2606  - GWM/Cosure Post-Closure      N/A
_                      Date Evaluation

"*              C2607  - GWM/Closure/Post Closure     N/A
                        Adequacy Flag

B              C2608  - Groundwater Monitoring       N/A
                        Report Submission Flag

                C2609  - Groundwater Monitoring       N/A
                                 Date Report
«                      Submitted

                C2610  - Groundwater Monitoring -      N/A
•                        Hazardous Waste
                        Constituents Flag

                §C2611  - GWM/Closure/Post-Closure     N/A
                        Free Date

M              C2612  - GWM/Closure/Post-Closure     N/A
•                      Free Field 1

                C2613  - GWM/Closure/Post-Closure     N/A
•                      Free Field 2

                C2614  - GWM/Closure/Post-Closure     N/A
•                      Free Field 3

                C2615  - GWM/Closure/Post-Closure     N/A
•                      Comments

                C2681 - GWM/Closure/Post-Closure     N/A
•                      Link




I
              System Startup Guide                D -14

I
-------
 HWDMS Data Elements and the Corresponding RCRIS Data Elements

 HWDMS Data Element                 RCRIS Data Element
  C2701  - EPA Hazardous Waste
          Number

  C2702  - Estimated Annual Quantity
          of Waste

  C2801  - Facility Financial Type

  C2802  - Facility Financial Evaluation
          Status

  C2803  - Facility Financial
          Applicability

  C2804  - Facility Financial Status Date
          Evaluated

  C2805  - Facility Financial Adequacy
         .Flag

  C2806  - Facility Current Cost Estimate
          Amount

  C2807  -  Facility Cost Estimate
          Unknown

  C2808  -  Facility Current Cost Estimate
          Posting Date

  C2809  -  Facility Prior Cost Estimate

  C2810  -  Facility Financial Amount
          Per Occurrence

 C2811  -  Facility Financial Annual
          Aggregate Amount

 C2812  -  Non-Sudden Submission
          Due Date

 C2813  -  Facility Financial Status
          Comment

 C2814  -  Financial Header Responsible
          Agency

 C2901  -  Financial  Inst. Code
     Waste Code, Waste Stream Sequenc
     No.

     N/A
     N/A

     N/A



     N/A



     N/A



     N/A



     N/A



     N/A



     N/A



     N/A


     N/A



     N/A



     N/A



     N/A



     N/A



     N/A
System Startup Guide
D-15
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   *              HWDMS Data Elements and the Corresponding RCRIS Data Elements
   I
HWDMS Data Element                 RCRIS Data Element
   ft               C2902  - Financial Sequence Number     N/A
                    C2903  - Financial Key                  N/A
   J               C2904  - Current Value                 N/A
   g               C2905  - Amount Covered               N/A
                    C2906  - Financial Inst. Date Effective     N/A
   •               C2907  - Financial Inst. Date Expires       N/A
                    C2908  - Trust Fund Payment Period      N/A
   •'               C2910  - Amount Occ                   N/A
   •               C2911  - Annual Aggregate Amount      N/A
                    C2912  - Multiple Facility Indicator       N/A
   |               C2913  - Financial Inst. Status            N/A
                    C2914  - Financial Inst. Number          N/A
   •               C2915  - Financial Inst. Free Field 1       N/A
   •               C2916  - Financial Inst. Free Field 2       N/A
                    C2917  - Financial Inst. Free Field 3       N/A
   I               C2918  - Financial Inst. Free Field 4       N/A
   mi               C2919  - Financial Responsible Agency    N/A
   *               C2920  - FSS Responsible Person          N/A
   •               C2921  - Financial Comment             N/A
                    C3001  - Financial Party Sequence No.     N/A
   •               C3002  - Financial Inst. Name            N/A
   •               C3003  - Financial Inst. Mail Address      N/A
                    C3004  - Financial Inst. Mail City          N/A
   |               C3005  - Financial Inst. State             N/A
   -               C3006  - Financial Inst. Zip Code          N/A

                  System Startup Guide                D - 16
§
-------
 HWDMS Data Elements and the Corresponding RCRIS Data Elements

 HWDMS Data Element                RCRIS Data Element
  C3007 - Financial Party Comments

  C3081 - Financial Link To -

  C3091 - Financial Inst. Comment
          Number


  C3092 - Financial Inst. Comments


  C3701 - Waste Associated Processes
     N/A

     N/A

     N/A



     N7A

     Waste Associated Processes
System Startup Guide
D-17
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                             APPENDIX E


                       Data Element Worksheets
This appendix contains a list of all the data elements in the Handler,

Permitting, CM&E and CA modules of RCRIS. These worksheets identify

which elements are converted from  HVVDMS or CARS and which are

required in RCRIS. This section can be used by those implementers who are

converting to RCRIS from HWDMS or CARS to identify which additional

data elements are required.  For those implementers not converting, the

worksheets show all the data elements which are required. An 'M'  in the

Type column indicates that a data elements is required entry on a data entry

screen.  The Type column indicates whether the element is core (C)  or

implementer only (I).  Core elements are required for oversight reporting and

must be collected before RCRIS is used in production. This column also

indicates the source of the data be it HWDMS (H), CARS (R), or System

Generated (S) based on data entered or converted.
System Startup Guide                E-l
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                                       APPENDIX F
                        Automated Versus Manual Double Data Entry
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          System Startup Guide                F-1
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 Parallel operations of RCRIS and HWDMS involves data entry into both
 systems and verifying the results in both systems. A method to allow keying
 the data in once and have it automatically go into both systems would appear
 to be very useful.  There are several reasons, however, why automation is not
 available  in the parallel operations of RCRIS and HWDMS.

 The first reason is due to differences between the designs of RCRIS and
 HWDMS. RCRIS is a redesign of the HWDMS system, not just a minor
 upgrade.  There is not a one-to-one match between all data elements in the
 systems.  There are several data elements in RCRIS where HWDMS had one.
 Some data elements in HWDMS have no RCRIS equivalent and vice versa.
 For other  data elements, although the RCRIS and HWDMS versions are the
 same in size and type, the values, meanings and relationships to other data
 elements have all changed.

 The RCRIS data base is to be initialized with HWDMS data that is extracted
 and massaged according to the rules described in "HWDMS/RCRS
 Conversion  Technical Specifications."  This conversion process is done by
 making a series of assumptions about the data and how it should look in
 RCRIS.  The resulting RCRIS data base then has to be cleaned up since the
 conversion process creates erroneous records along with the good ones.
 These errors can't be helped due to the differences in HWDMS and RCRIS.
 For the initialization of the data base it was felt that enough good data would
 be transferred to make the resulting clean up acceptable on a one-time basis.
 Using the  conversion rules on a regular basis, however, to convert data entry
 information  will cause more work than it saves. This is the first reason that
 double entry will be done manually during parallel operations.

 The second reason for manual double entry is that the data entry function is
 an important component of the RCRIS system that needs to be tested against
 the HWDMS data entry.  Manual entry of the data into both systems allows a
 test of the known system against the new system.  For these two reasons, data
 entry will  be done manually into both  systems during parallel operations.
System Startup Guide                 F-2
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                                        APPENDIX G
                           Automated Versus Manual Reconciliation
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 The process for reconciling HWDMS and RCRIS during the parallel
 operations period will be a very manual process due to the nature of
 HWDMS and RCRIS. There are differences in the structure of the two
 systems that make an automated reconciliation mechanism infeasible if not
 impossible. These differences are in the general system architecture as well as
 in the data elements in each system.

 System Architecture Differences

 HWDMS is a set of 10 regional System 2000 data bases that reside on the IBM
 3090 at NCC in North Carolina. The data in the data bases is entered either
 directly or via PC-based data entry software that batches changes to the system.
 The States within a Region and the regional staff all have access to the same
 information with the ability to add, modify or delete  any of the information
 in the data base.

 The RCRIS system is a set of over 120 data bases.  There are two data bases for
 each state and territory in the system since the Region and the State both
 have  their own data base for their own activities. There are 10  regional
 'merge' data bases which consolidate the information for  all the
 implementers in a Region. The oversight information from each regional
 merge data base is extracted and put into a national oversight data base.

 These architectural differences between the two systems make automated
 reconciliation a difficult process. The data is initially entered into a PC-based
 system in RCRIS and  a mainframe-based system in HWDMS.  Reconciling
 the data means that the data first has to be moved to a common system. The
 downloading or uploading process could take over half a day to run
 excluding the process  of extracting the data from the data base and then
 running a reconcilation program. If the data is to be reconciled  frequently
 during the  parallel operations period, the reconciliation process could end up
 taking more time than the data entry into two systems. There are already
 concerns about insufficient resources  for double data entry.

Structural Differences

System Startup Guide                 G-2
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 In addition to the overall architectural differences, there are differences

 between the structure of information in the two systems. HWDMS has one

 set of general information for each handler.  This  includes indicators as to the

 facility's activity and RCRA regulated status as well as information

 concerning the processes used for handling waste  if the hander is a TSD

 facility.  On the other hand, RCRIS has four  sets of information on general

 activities, one for each of four different sources of information — notification,

 Part A, State and Region  information.


 The initialization of the RCRIS data base has a series of complex rules for

 changing the HWDMS data to RCRIS format.  This conversion is not exact.

 Erroneous records will be created by the conversion program. Section 2.2 is

 devoted to which elements need to be cleaned up in  the post-conversion

 process.


 An automated system for reconciling information  put into both HWDMS

 and RCRIS during parallel operations would have the same problems  with

 inconsistencies that the  conversion software has. Data would have to be

 extracted from one system and converted to  a structure similar to  the other

 system. This creates inconsistencies.  The reconciliation process would then

 have  to determine whether the inconsistencies were a result of the

 conversion process or as a result of problems in parallel operations. The

 'automated' reconciliation would require as much manual intervention as

 the manual reconciliation.
System Startup Guide
G-3
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