c/EPA
United States
Environmental Protection
Agency
Administration and 21M-1019
Resources Management July 1991
(PM-211D)
Agency Catalog of Data
Policies and Standards
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.REFACL
This catalog summarizes EPA-wide and Federal data policies and standards. Each
Agency-wide policy and standard is described with the full text version in the appendix.
Federal data policies and standards, knovvnas FTPS, are briefly described as are the efforts
currently underway to develop International Data Standards for environmental data.
The policies and standards in this Catalog are the definitive list of data standards
that Agency personnel and contractors must meet when developing information
systems. As new policies and standards are developed and promulgated, this catalog
will be updated. Waivers are possible only upon request to, and approval by, the
Director of OIRM.
This catalog is a tribute to the many EPA staff and contractors who have
developed and implemented Agency-wide data standards. Their vision and
perseverance have laid the foundation for a successful EPA data standards program.
Your comments on how to improve this catalog would be appreciated. Please
send them to:
Program Manager for Data Administration
Information Management and Services Division (PM-211D)
Office of Information Resources Management
US EPA
401 M Street, SW
Washington, DC 20460
Printed on Recycled Paper
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AGENCY CATALOG OF DATA POLICIES AND STANDARDS
TABLE OF CONTENTS
PREFACE i
1. INTRODUCTION 1
1.1. Background 1
1.2. Purpose 1
1.3. EPA Data Standards Program 2
1.4. Format of the Catalog 3
2. FEDERAL DATA-RELATED LAWS, REGULATIONS, POLICIES AND
GUIDELINES 5
2.1. Overview 5
2.2. Applicability 6
2.3. Location 6
2.4. Federal Data-Related Laws, Regulations, Policies, and Guidelines 6
2.4.1. P.L. 96-511 - Paperwork Reduction Act of 1980 (44 U.S.C. 35) 6
2.4.2. P.L. 96-591 - Paperwork Reduction Reauthorization Act of
1986 (44 U.S.C. 35) 6
2.4.3 P.L. 90-620 - The Federal Records Act of 1968 (44 U.S.C. 29) 7
2.4.4. P.L. 100-235 - Computer Security Act of 1987 (44 U.S.C.) 7
2.4.5. Computer Matching and Privacy Protection Act of 1988 and
Amendments of 1990 7
2.4.6. OMB Circular A-130, Management of Federal Information
Resources (December 12,1985) 7
2.4.7. Federal Information Resources Management Regulations
(FIRMR) 8
3. EPA DATA-RELATED POLICIES 9
3.1. Overview 9
3.2. Applicability 9
3.3. Location 9
3.4. EPA Data-Related Policies 9
3.4.1. Policy on Electronic Reporting, July 30,1990 9
3.4.2. Chapter 3, "State/EPA Data Management" 10
3.4.3. Chapter 5, "Data Standards" 10
3.4.4. Chapter 13, "Locational Data" 10
4. EPA AGENCY-WIDE DATA STANDARDS 11
4.1. Overview 11
4.2. Applicability 11
4.3. Location 11
1X1
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4.4. EPA Agency-wide Data Standards 11
4.4.1. Chemical Abstract Service Registry Number Data Standard,
EPA Order 2180.1, June 26,1987 11
4.4.2. Data Standards for Electronic Transmission of Laboratory
Measurement Results, EPA Order 2180.2, December 10,
1987. 12
4.4.3. Facility Identification Data Standard, EPA Order 2180.3,
April 9,1990 12
4.4.4. Minimum Set of Data Elements for Groundwater, EPA
Order No. 7500.1, September 11,1989 :... 12
5. FEDERAL DATA STANDARDS 15
5.1. Overview , 15
5.2. Applicability 15
5.3. Location 15
5.4. Federal Data Standards (FTPS) 15
5.4.1. FTPS PUB 4-1, Representation for Calendar Date and
Ordinal Date for Information Interchange 16
5.4.2. FIPS PUB 5-2, Codes for the Identification of the States, the
District of Columbia and the Outlying Areas of the United
States, and Associated Areas 16
5.4.3. FIPS PUB 6-4, Counties and Equivalent Entities of the
United States, its Possessions, and Associated Areas 16
5.4.4. FIPS PUB 8-5, Metropolitan Statistical Areas (Including
CMSAs, PMSAs, and NECMAs) '. 16
5.4.5. FIPS PUB 9, Congressional Districts of the United States 17
5.4.6. FIPS PUB 10-3/104-1, Countries and Principle
Administrative Divisions 17
5.4.7. FIPS PUB 19-1, Catalog of Widely Used Code Sets 17
5.4.8. FIPS PUB 55-2, Guidelines: Codes for Populated Places,
Primarily County Divisions, and Other Locational Entities
of the United States and Outlying Areas 18
5.4.9. FIPS PUB 58-1, Representations of Local Time of Day for
Information Interchange 18
5.4.10. FIPS PUB 59, Representations of Universal Time, Local
Time Differentials, and United States Time Zone
References for Information Interchange 19
5.4.11. FIPS PUB 66, Standard Industrial Classification (SIC) Codes 19
5.4.12. FIPS PUB 70-1, Representation of Geographical Point
Locations for Information Interchange 19
5.4.13. FIPS PUB 92, Guideline for Standard Occupational
Classification (SOC) Codes 19
5.4.14. FIPS PUB 95, Codes for the Identification of Federal and
Federally Assisted Organizations 20
5.4.15. FIPS PUB 103, Hydrologic Units 20
5.4.16. Proposed FIPS for Spatial Data Transfer Standard (SDTS) 20
IV
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6. INTERNATIONAL DATA POLICIES, GUIDELINES, AND STANDARDS 21
6.1. Overview 21
6.2. Applicability 22
6.3. Location 22
BIBLIOGRAPHY 23
APPENDIX A: EPA AGENCY-WIDE DATA POLICIES AND STANDARDS 25
1. Policy on Electronic Reporting, July 30,1990 A-l
2. IRM Policy Manual, Chapter 3, "State/EPA Data Management" A-5
3. IRM Policy Manual, Chapter 5, "Data Standards" A-13
4. IRM Policy Manual, Chapter 13, "Locational Data" A-17
5. Chemical Abstract Service Registry Number Data Standard, EPA
Order 2180.1, June 26,1987 A-23
6. Data Standards for Electronic Transmission of Laboratory
Measurement Results, EPA Order 2180.2, December 10, 1987 A-27
7. Facility Identification Data Standard, EPA Order 2180.3, April 9,
1990 A-87
8. Minimum Set of Data Elements for Groundwater, EPA Order No.
7500.1, September 11,1989 A-103
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1. INTRODUCTION
1.1. Background
As EPA's information needs have expanded, the Agency has developed
numerous computer systems to support its management and regulatory functions.
Many of these systems were designed by individual EPA program offices, without the
aid of uniform Agency data standards. This pattern of system development has
resulted in many non-uniform coding practices and incompatible data structures,
leading to inefficient data sharing between systems belonging to different program
areas. Moreover, the growth in end-user computing has introduced a trend toward
decentralization of systems support and development throughout EPA. This
decentralized environment has contributed dramatically to the increased potential for
duplication of data and incompatible data formats among EPA information systems
and data repositories. This makes it difficult, expensive, and sometimes impossible for
data to be meaningfully shared across EPA systems and programs and with state and
local governments, industry, and the public.
To take full advantage of EPA's growing technological and data resources, there
needs to be an increased emphasis on improving compatibility of data among EPA
systems. A data standards program can help establish an environment in which data is
managed effectively and is sharable from one program to another. Standards help to
improve quality and efficiency, reduce waste and unnecessary duplication in systems,
and enhance the portability of data, software and technical skills across systems. The
principal goal of a data standards program is to make maximum use of the tremendous
investment EPA makes in its data. The increasing need to share EPA data adds further
emphasis to the need for responsive standards that facilitate interchange of EPA
information resources.
In response to EPA's data management needs, the Agency has undertaken a Data
Standards program. Defining basic data standards for national environmental systems
is a major initiative for EPA and is critical to progress in data integration efforts and
improvements in managing for environmental results. As part of this program EPA-
wide data standards are proposed, studied, refined, approved, and promulgated to
increase consistency and portability of data within the Agency and between the Agency
and outside parties (such as States, industry, and other Federal agencies).
1.2. Purpose
This catalog is among the first products of the EPA Data Standards Program. The
purpose of this catalog is to provide a useful source of up-to-date information on the
current EPA-wide and Federal data standards that must be followed in developing,
implementing, operating and maintaining all EPA information systems and services.
This catalog contains all the EPA Agency-wide standards, and lists the Federal standards
and guidelines that are issued by the National Institute of Standards and Technology
Agency Catalog of Data Policies and Standards Page 1
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(NIST) as Federal Information Processing Standards (FIPS), and international standards
that are relevant to EPA mission and functions. It will be updated periodically when
EPA issues new Agency-wide data standards or when other improvements to the
catalog are identified. For example, there are new data standards currently in
development at the Agency; many of these are not listed in the catalog due to their
draft, developmental status. The next version of the Catalog may describe a new EPA
spatial data coverage documentation standard. It may include a standard for
consistently representing and encoding EPA's organizational structure. It may present
a definitive, agreed-upon standard for identifying biological taxonomy.
As these, and other, important efforts culminate, the catalog will provide one
centralized means for disseminating the standards to the broad Agency IRM
community. Without aggressive communication of data standards to the relevant
community, widespread compliance with the standards is unlikely. The Catalog is an
essential communication tool to promote compliance with standards.
1.3. EPA Data Standards Program
The EPA Data Standards Program was established and formalized by the EPA
Information Resources Management Policy Manual, Chapter 5, Data Standards. Under
this policy, the Office of Information Resources Management (OIRM) is responsible for
providing leadership in developing standards; coordinating the evaluation and
approval process of all data standards with the Assistant Administrators, Regional
Administrators, Office Directors and Senior Information Resources Management
Officials; exercising final approval authority for the adoption of new data standards and
granting waivers, when appropriate, to current Agency data standards; proposing data
elements or representations for use by more than one organizational component of
EPA; and supporting other EPA data administration efforts. OIRM's Information
Management and Services Division (IMSD) is responsible for the Data Standards
Program, as one component of its broader efforts in data administration. EPA
organizations are responsible for implementing Agency data standards and establishing
an organization-wide data standards work group which reviews and provides
information and comments on proposed standards. EPA organizations are also in the
best position to propose new data standards for the Agency to use within the
environmental community.
If you have a data standard to propose for Agency-wide use, please contact the
Data Standards Administrator in OIRM/IMSD. IMSD will serve as the focal point for
initiating the process to attain Agency-wide consensus on the proposed standard.
Currently, EPA has formally adopted four Agency-wide data standards. These
standards were published as EPA Transmittal Orders to be added to the EPA Directives
System. They are contained in Section 4 of this manual. Irt addition to these standards,
it is EPA policy and EPA's responsibility to conform with relevant Federal Information
Processing Standards (FIPS) in designing and implementing new data processing
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systems and in making major modifications to existing data processing systems. A list
of applicable FTPS is contained in Section 5.
1.4. Format of the Catalog
The catalog is organized into five remaining sections:
Section 2. Federal Data-Related Laws, Regulations, Policies and Guidelines. This
section describes the Federal laws, regulations, policies and guidelines that
mandate the need for an effective information resources management program
in all Federal agencies.
Section 3. EPA Data Related Policies. This section contains the EPA IRM policies
related to the management of data as an essential resource.
Section 4. EPA Agency-wide Data Standards. This section contains all the current
EPA-wide data standards. The many excellent data standards used in individual
Agency systems are not listed here — they are not within the scope of this Catalog.
Section 5. Federal Data Standards. This section lists the Federal standards and
guidelines issued by NIST as Federal Information Processing Standards.
Section 6. International Data Policies, Guidelines, and Standards. This section
describes the ongoing efforts in development of International Data Standards for
environmental data.
Bibliography. The bibliography contains a list of Federal and other publications
that relate to the management and administration of data.
Appendix A. Appendix A contains full-text copies of the current EPA Agency-
wide data policies and standards.
Agency Catalog of Data Policies and Standards Page 3
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2. FEDERAL DATA-RELATED LAWS, REGULATIONS, POLICIES AND
GUIDELINES
2.1. Overview
This section provides an overview of the Federal data-related laws, regulations,
policies and guidelines that form the basis for Federal data management activities. All
Federal agencies are required to adhere to these laws and regulations. This is
accomplished through establishing Federal Information Resource Management (IRM)
programs and implementing agency policies and standards. EPA-specific data policies
and standards are described in Sections 3 and 4 of this catalog. Since the remainder of
this section provides mostly background information, catalog readers may want to go
directly to the next two sections for EPA-specific information.
There have been many laws passed that concern, directly or indirectly,
information or data management activities. The Federal Property and Administrative
Services Act of 1949 was among the first, . providing basic procurement and
management authority for telecommunication and ADP resources. This act authorized
the General Services Administration to prescribe standard purchase specifications and
their use in the procurement process. In response to this authority, GSA established
the Federal Standardization Program. The Federal Standardization Program is defined
in GSA Handbook FIRMR Bulletin C-3.
Many other laws have been passed which deal with various aspects of
information activities. The "Federal Records Act of 1968" (44 U.S.C. 29) assigned to
GSA a central management role in government wide records management. The
"Procurement of ADP Resources by the Federal Government (Brooks) Act of 1965" (40
U.S.C. 759), governs Federal acquisition and management of ADP equipment. The
"Freedom of Information Act of 1966" (5 U.S.C. 552) established the right of citizens to
request information from Federal agencies. The "Privacy Act of 1974" (5 U.S.C. 552a)
established an individual's right to review records maintained about him/her by
Federal agencies (among other provisions). Amendments to these laws, and many
other laws, regulations, Executive Orders, and Office of Management and Budget (OMB)
Circulars have been promulgated which have an impact on Federal information
management.
In 1980, the Paperwork Reduction Act (PRA), P.L. 96-511, became law. The PRA
formally established the concept of IRM. The PRA was the first major legislation which
recognized that information itself is a valuable resource. Among other measures, it
gave agencies the responsibility to carry out information management activities in an
efficient, effective, and economical manner and to comply with the information
policies, principles, standards, and guidelines prescribed by the Director of OMB. It also
mandated that each agency designate a senior official, reporting directly to the head of
that agency, to carry out responsibilities under the Act. It is the responsibility of the
Agency Catalog of Data Policies and Standards Page 5
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senior IRM official for EPA to develop and promulgate EPA IRM policies that
implement the Federal laws and policies pertaining to information management.
2.2. Applicability
Federal laws, policies, and guidelines apply to all Agency information
management activities. Agencies, in response to Public Laws, regulations and
directives, have established IRM organizations to bring together the entire range of
information-related activities and provide implementing guidance to Agency
organizations in managing their daily information activities. OIRM has been delegated
the primary responsibility in EPA to provide leadership in developing, promulgating
and enforcing the policies derived from the Federal IRM requirements, such as the EPA
Data Standards Program.
2.3. Location
All Federal IRM laws, regulations, policies, and guidelines are available in the
EPA Headquarters library or can be obtained through OIRM.
2.4. Federal Data-Related Laws, Regulations, Policies, and Guidelines
The following are the key Federal laws and guidelines relating to management
and utilization of IRM resources.
2.4.1. P.L. 96-511 - Paperwork Reduction Act of 1980 (44 U.S.C 35)
This act establishes a broad mandate for agencies to perform their
information activities in an efficient, effective, and economical manner. This
Act also requires Federal agencies to designate a Senior Official, who reports
directly to the agency head, as the responsible party for information; and
defines management functions covered under the Federal Property and
Administrative Services Act of 1949 (40 U.S.C. 759). The Paperwork
Reduction Act specifically recognized GSA's role in the acquisition and
management of automated data processing equipment (ADPE).
2.4.2. P.L. 96-591 - Paperwork Reduction Reauthorization Act of 1986 (44
U.S.C 35)
This act refines the intent of the original act by defining "information
resources management" as the "planning, budgeting, organizing, directing,
training, promoting, controlling, and management activities associated with
the burden, collection, creation, use and dissemination of information by
agencies, and includes the management of information and related resources
such as automatic data processing equipment."
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2.4.3. P.L. 90-620 - The Federal Records Act of 1968 (44 U.S.C. 29)
This act assigned the General Services Administration (GSA) a central
management role regarding government-wide records management.
Subsequently, P.L. 98-497 (44 U.S.C. 21) established the National Archives &
Records Administration as an independent agency, and transferred to it many
of the records management responsibilities formerly at GSA.
2.4.4. P.L. 100-235 - Computer Security Act of 1987 (44 U.S.C)
The Computer Security Act provides further standards and guidance for
assuring the cost-effective security and privacy of sensitive information in
Federal computer systems. Computer security, as covered in the Act and
Federal guidances, implies more than security for "clearance-restricted" files.
It includes all "sensitive data: data which is mission-critical to the agency; data
which has right-to-privacy implications; and all data which, if lost or changed,
would significantly affect the agency's finances, operations, or plans." A key
element of the Act is the requirement for each Federal agency to identify its
computer systems which contain sensitive information, and to establish
plans for minimizing the loss, misuse, unauthorized access to, or
modification of information in those systems. Additionally, each agency is
required to train in security matters all personnel involved in the
management, operation, and use of Federal computer systems.
2.4.5. Computer Matching and Privacy Protection Act of 1988 and
Amendments of 1990
These amendments provide additional protection for individuals whose
records are used in a computer matching program. Before any action can be
taken against an individual as a result of the information produced by a
matching program, the agency must independently verify the information as
accurate. Each Agency must establish a Data Integrity Board to review all
proposed computer matches.
2.4.6. OMB Circular A-130, Management of Federal Information
Resources (December 12,1985)
This Circular provides the general policy framework for management of
Federal information resources. The Circular provides that agencies shall
establish multi-year strategic planning processes for acquiring and operating
information technology that meet program and mission needs, reflect budget
constraints, and form the basis for budget requests.
Agency Catalog of Data Policies and Standards Page 7
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2.4.7. Federal Information Resources Management Regulations (FIRMR)
The General Services Administration is chartered with preparing/ issuing and
maintaining the FIRMR. This document is the primary regulation governing
Federal agencies' management, acquisition, and use of certain ADP and
telecommunications resources. The FIRMR is to be used in conjunction with
the general procurement and contracting regulations contained in the Federal
Acquisition Regulation (FAR). Agency compliance with the FIRMR is the
responsibility of the agency head. The FIRMR contains the provisions of
public laws and is the primary policy and procedure guideline for IRM in the
Federal Government. As such, all policy and procedures issued by Federal
agencies are written for the purpose of implementing or supplementing
FIRMR direction. Although all parts of the FIRMR are valuable references
for all aspects of IRM, Bulletin C-3, which replaces Part 201-9, describes the
policies and procedures regarding the Federal Standardization Program.
Agency Catalog of Data Policies and Standards
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3. EPA DATA-RELATED POLICIES
3.1. Overview
This section describes the EPA policies on data management. Data policies are the
formal statements that implement the EPA's IRM program directions and Federal laws
and mandates. These policies are the management framework for EPA's IRM program,
of which data management activities are an important component. The majority of
EPA's formal policies relating to the management of IRM resources are contained in
EPA's Information Resources Management Policy Manual.
3.2. Applicability
In general, EPA's data-related policies apply to all EPA organizations and their
employees. They also apply to the facilities and personnel of agents (including
contractors and grantees) of EPA who design, develop, operate or maintain Agency
information and information systems including automated and manual systems
developed for program or administrative purposes.
3.3. Location
The majority of EPA's formal policies relating to the management of IRM
resources are contained in EPA's Information Resources Management Policy Manual.
This manual can be obtained from the Information Management and Services Division
within OIRM. (The EPA policies discussed in this section are also contained in
Appendix A of this manual.)
3.4. EPA Data-Related Policies
The following four policies address the management of EPA data:
3.4.1. Policy on Electronic Reporting, July 30,1990.
This policy establishes a uniform Agency approach to electronic reporting by
the regulated community. The policy pertains to submission of reports via
electronic or magnetic media. This policy is intended to promote the
adoption of electronic reporting by EPA programs, and ensure that as they
implement this technology they do so in a manner that is both consistent
across the Agency and compatible with the electronic reporting practices that
are current in the regulated community. This policy applies in every case
where EPA programs are requesting or requiring reports from members of the
regulated community, including those cases where reports are required or
requested of Federal facilities. This policy applies whether the recipients of
the reports are EPA programs at headquarters or in regional offices, or State or
local government agencies acting under EPA-delegated authority.
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3.4.2. Chapter 3, "State/EPA Data Management"
This policy establishes the principles that govern the management and
sharing of data between EPA and State environmental agencies and the
information systems that handle this data. This policy also defines roles and
responsibilities for implementing and ensuring adherence to these principles.
3.4.3. Chapter 5, "Data Standards"
This policy establishes the EPA Data Standards Program. The purpose of this
program is to provide consistent definition of data and to facilitate cross-
media use of data. This policy sets forth Agency principles on data standards
and assigns organizational responsibilities for implementing and
administering common data standards.
3.4.4. Chapter 13, "Locational Data"
This policy establishes the principles for collecting and documenting
latitude/longitude coordinates for facilities, sites and monitoring and
observation points regulated or tracked under Federal environmental
programs within the jurisdiction of the Agency. The intent of this policy is to
extend environmental analyses and allow data to be integrated based upon
location, thereby promoting the enhanced use of EPA's extensive data
resources for cross-media environmental analyses and management
decisions. This policy underscores EPA's commitment to knowing where
environmental results occur and to establishing the data infrastructure
necessary to enable data sharing and secondary data use.
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4. EPA AGENCY-WIDE DATA STANDARDS
4.1. Overview
Data standards are statements of the specific rules guiding the implementation of
IRM data policies and day-to-day IRM data management activities. Depending upon
the scope or topic of the standard, standards may be implemented EPA-wide or may be
specific to one program office. This section contains the EPA-wide data standards.
These data standards focus mostly on required data elements, lists of valid values for
selected data elements, and issues relating to transmission of data. At this time, they do
not cover some types of data standards such as naming conventions, data set
description standards, standards for data dictionaries, etc. Agency-wide standards of
these types may be developed in the future. The data standards contained in this
section were selected because of their unique cross-cutting nature. Currently, all EPA-
wide data standards are issued under the EPA directive system as Agency Orders and
undergo the Green Border review process, requiring an absolute consensus among all
EPA organizational components for approval.
4.2. Applicability
EPA's data standards apply to all EPA organizations and their employees. They
also apply to the facilities and personnel of agents (including contractors and grantees)
of EPA who design, develop, operate or maintain Agency information and information
systems including automated and manual systems developed for program or
administrative purposes. Any requests for waivers from these data standards must be
sent to OIRM for review and approval.
4.3. Location
Appendix A contains copies of all of the EPA-wide data standards. Because these
data standards are issued as EPA directives, additional copies of the data standards are
available through the Office of Administration's Management and Organization
Division, which manages the EPA directive system.
4.4. EPA Agency-wide Data Standards
The following four EPA-wide data standards are currently in effect:
4.4.1. Chemical Abstract Service Registry Number Data Standard, EPA
Order 2180.1, June 26,1987
The CAS registry number provides consistent and unambiguous
identification of chemicals and facilitates sharing chemical information across
program offices. The CAS number is a unique identifier assigned by the
Chemical Abstract Service to each distinct chemical substance recorded in the
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CAS Chemical Registry System. It is represented as a ten digit code with the
first nine characters uniquely identifying the chemical and the tenth character
acting as a check digit. The Chemical Abstract Service Registry is available
online through the EPA Headquarters Library. Information concerning
adding a chemical to the registry may be obtained by calling the American
Chemical Society at 1-800-848-6538.
4.4.2. Data Standards for Electronic Transmission of Laboratory
Measurement Results, EPA Order 2180.2, December 10,1987
This standard prescribes the formats and electronic representations of data
commonly used in transmitting laboratory results. The order covers EPA
laboratory transmission standards regarding: media formats describing
diskette and tape specifications and standard record lengths; record formats
describing each record layout; definition of production runs; record sequences
describing the order of records within a file; file and record integrity; date and
time formats; and other transmission information. This standard also
presents record layouts and field definitions for many commonly used record
types. The standard enables consistent formatting of lab sample data and all
associated data relating to instrumentation and sample controls.
4.4.3. Facility Identification Data Standard, EPA Order 2180.3, April 9,
1990
This Order establishes a data standard for unique facility identification codes
to be maintained in all EPA data collections containing information on
facilities regulated by EPA under authority of Federal environmental
legislation. Standardization of the format and content of facility
identification codes enhances data integration capabilities and increases the
utility of all EPA data on facilities. This coding scheme is not based on an
external standard, such as the DUNS ID, but rather is a unique EPA identifier
comprised of the relevant FIPS standard 2-digit state, followed by a unique
random 10-digit identification number. These codes are assigned and tracked
by the Facility Index Data System (FINDS). The facility ID standard element
must be maintained as a key data element in all EPA systems containing
facility-related information.
4.4.4. Minimum Set of Data Elements for Groundwater, EPA Order No.
7500.1, September 11,1989
This EPA Order establishes the minimum data elements to be collected and
managed by the Agency ground-water community, including States, local
governments, the regulated community, EPA, and other Federal agencies. It
is EPA policy to collect and maintain consistent ground-water data based on a
minimum set of data elements. EPA Program Offices and Regions are
required to incorporate this policy into their ground-water data collection
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activities through appropriate mechanisms such as regulations, policies,
directives, orders, guidance, or procedures, when consistent with statutory
and other significant policy, administrative, and technical considerations.
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5. FEDERAL DATA STANDARDS
5.1. Overview
The National Institute of Standards and Technology (NIST) develops standards
and guidelines, provides technical assistance, and conducts research for computers and
related telecommunications systems to achieve more effective use of Federal
information technology resources. The Federal Information Processing Standards
(FIPS) are the Federal data standards for all data interchange among executive
departments and independent agencies, and for Federal data interchange with the non-
Federal sector including industry, State, local and other governments, and the public at
large.
5.2. Applicability
All Federal agencies must comply with the FIPS standards. Nonconformance
with FIPS PUBS standards requires a waiver from OIRM. Any requests for waiver,
along with the appropriate justifications, should be forwarded to the Director, OIRM,
for review.
5.3. Location
A complete set of FIPS is maintained in the EPA Headquarters Library.
Automated copies of selected FIPS can be found on EPA's mainframe computer. It is
likely, in fact, that multiple copies of certain FIPS exist as parts of separate application
systems on the mainframe. Future versions of this catalog may identify the
mainframe location of the definitive copy of these FIPS, so that purchase and
maintenance of redundant copies can be-eliminated.
The following is a list of selected FIPS — those that deal most closely with specific
data element standards. Additional FIPS are listed in the Bibliography. These
additional guidelines provide more information on general Federal data
administration activities.
5.4. Federal Data Standards (FIPS)
The following is a list of 16 FIPS data standards — primarily those that set formats
or provide lists of valid values for specific data elements.
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5.4.1. FIPS PUB 4-1, Representation for Calendar Date and Ordinal Date
for Information Interchange
This standard provides a standard means of representing calendar date and
ordinal date to facilitate interchange of data among information systems.
5.4.2. FIPS PUB 5-2, Codes for the Identification of the States, the District
of Columbia and the Outlying Areas of the United States, and
Associated Areas
Two-character alphabetic abbreviations and two-digit numeric codes are
defined for each of the states and U.S. territories. The abbreviations are
identical to the Postal Service codes and therefore are useful for identifying
establishment locations and for producing mailing addresses.
5.4.3. FIPS PUB 6-4, Counties and Equivalent Entities of the United States,
its Possessions, and Associated Areas
The FIPS representation of this data element consists of three-digit numeric
codes for each county or county equivalent in the U.S. The counties are
arranged in alphabetical order and the corresponding codes are unique within
each state. For example, the first counties in Alaska and Wyoming are each
designated '001'. This sequence, when combined with the FIPS numeric state
code discussed earlier, unambiguously identifies each county in the United
States.
5.4.4. FIPS PUB 8-5, Metropolitan Statistical Areas (Including CMSAs,
PMSAs, and NECMAs)
MSA (formerly SMSA) codes are elements which identify integrated social
and economic units. Each contains a unique four-digit numeric identifier
plus a one-digit alphabetic population level code. Nine criteria, including
population, are used to identify MSAs, which may cross state boundaries.
MSAs are used to define large residential centers and other areas of dense
population. In October 1984, FIPS PUB 8-5 revised the definitions of MSAs.
The updated standard revised the criteria used to identify MSAs and also
established three new statistical areas: the Primary Metropolitan Statistical
Area (PMSA), the Consolidated Metropolitan Statistical Area (CMSA), and
the New England County Metropolitan Area (NECMA). The PMSA is an area
analogous to the MSA but is slightly larger. PMSA codes are formatted the
same as MSAs. CMSA codes are two-digit numeric groups of PMSAs
assembled together into larger integrated areas. NECMAs are separate
metropolitan area codes for groups of New England towns and cities. Since
more detailed information is available for New England at the town level,
additional codes have been developed to allow information to be tracked by
more detailed metropolitan areas. The NECMA codes are formatted the same
Page 16 Agency Catalog of Data Policies and Standards
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as MSA codes. They are not intended to replace MSA codes, but rather to be
more detailed areas for New England.
5.4.5. FTPS PUB 9, Congressional Districts of the United States
Two-digit numeric codes identify the congressional districts of the U.S. The
numbers are unique within each state and unique for each of the sessions of
Congress. The districts may be rearranged occasionally, depending upon
census results.
5.4.6. FIPS PUB 10-3/104-1, Countries and Principle Administrative
Divisions
This original NIST standard, FIPS PUB 10-3, consists of a two-character
alphabetic code, one for each of the geo-political entities in the world.
Although the NIST standard was developed first, a coding scheme later
published by the International Organization for Standardization (ISO) has
received wider publicity and greater use. Recognizing this, the NIST has
published FIPS PUB 104-1 which allows any agency to adopt either format as
its standard.
5.4.7. FIPS PUB 19-1, Catalog of Widely Used Code Sets
This catalog lists and briefly describes code sets that are in wide use in the
United States and that might be used in Federal data systems. The purpose of
this catalog is to assist Federal Agencies and other organizations in selecting
appropriate code sets. There are four commonly used coding schemes
included in this catalog that have particular significance to EPA. These
include the Hazardous Material ID Number, the Social Security Number,
Human Sexes, and Zip Codes. These codes are described below.
The hazardous material ID number is a United Nations code for uniquely
identifying various harmful substances. Since EPA programs often track
information pertaining to hazardous materials, this coding system may
provide a common method of identification within the EPA and may
increase consistency with international conventions. The applicability to
EPA's information needs and the potential usefulness of this code warrant
consideration by EPA of its possible adoption as an EPA data standard.
The Social Security Number is a nine digit numeric developed by the Social
Security Administration to uniquely identify all citizens of the United States.
Many organizations across the United States and some systems within the
EPA use this code to identify personnel. Although many systems at EPA do
not keep records of specific people, there is applicability to EPA for internal
staffing-related records where a systematic code would facilitate portability
between systems. Due to its wide spread use in all sectors of the U.S., the
Agency Catalog of Data Policies and Standards Page 17
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Social Security Number is the logical choice for such a standard. Note that all
systems employing unique personal identifiers are subject to requirements of
the Privacy Act (EPA's Privacy Act Manual is available from OIRM/IMSD
upon request).
The human sexes codes provide a consistent method for documenting the sex
of people. The scheme includes codes for male, female, and codes identifying
that gender is not specified or not known. The applicability of human sex
codes to EPA is essentially the same as for the Social Security Number.
Personnel records within EPA benefit from increased portability with the
adoption of a standard code. The scheme outlined in FIPS PUB 19-1 is one
that provides flexibility with its additional standard codes for unknown data,
and should be widely used by the EPA.
Zip Codes are five and nine digit numeric codes identifying the Postal Service
areas in the United States. These codes are crucial to all mailing address
information. Currently, many EPA programs have a need for mailing
address information and many EPA systems store ZIP Codes for this purpose.
However, some Agency systems can only store the five digit ZIP Codes and
cannot accommodate the recently introduced nine digit ZIP Codes. Since ZIP
Codes are useful throughout the Agency, they should be adopted as an EPA
standard and their collection made mandatory for all mailing addresses.
Also, EPA should uniformly update all five digit ZIP Codes to the new
standard nine digits wherever practical.
5.4.8. FIPS PUB 55-2, Guidelines: Codes for Populated Places, Primarily
County Divisions, and Other Locational Entities of the United States
and Outlying Areas
This guideline implements ANSI X3.47-1977 and provides a two-character
FIPS State Code and a five-character FIPS numeric place code to uniquely
identify each listed entity. It contains an exhaustive list of names of
incorporated places, census designated places (CDPs), primary county
divisions (such as townships, New England towns, and census county
divisions), counties, and recognized Indian reservations and Alaska Native
villages. The listing also includes names of all populated places in the files of
the Geographic Names Information System of the U.S. Geological Survey, as
well as names of airports, military bases, national parks, and U.S. Post Offices.
A two-character class code distinguishes over fifty entity types.
5.4.9. FIPS PUB 58-1, Representations of Local Time of Day for
Information Interchange
This standard provides uniform time representations for both 12- and 24-
hour timekeeping systems. It provides a means for representing local time of
the day in digital form for the purpose of interchanging information among
Page 28 Agency Catalog of Data Policies and Standards
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data systems. It specifies the time elements and their sequencing, the use of
separators between time elements and the representations of the meridiem
designator.
5.4.10. FIPS PUB 59, Representations of Universal Time, Local Time
Differentials, and United States Time Zone References for
Information Interchange
This standard identifies the various time zones of the world. Procedures for
expressing universal time (Greenwich Mean Time) and for presenting local
time differential factors and time zones are given.
5.4.11. FIPS PUB 66, Standard Industrial Classification (SIC) Codes
This standard provides classifications, short titles, and codes for representing
industries and groups of establishments with similar economic activities.
The codes may be two to four digits in length and are left-justified. A two-
digit number refers to a general industrial classification (such as Agricultural
Chemicals) whereas a four-place number identifies a subclassification (such as
Nitrogenous Fertilizers) in more specific detail.
5.4.12. FIPS PUB 70-1, Representation of Geographical Point Locations for
Information Interchange
This standard specifies three formats for representing geographic point
locations: longitude/latitude, Universal Transverse Mercator (UTM), and the
State Plane Coordinate System. Of these, the first is the most widely used at
the Federal level and is EPA's preferred locational coordinate system,
according to EPA's Locational Data Policy (see Section 3 or Appendix A). It
employs spherical coordinate representations (degrees, minutes, and seconds)
to identify points on the earth's surface. The prime meridians for longitude
and latitude are Greenwich, England and the equator, respectively. The UTM
method is a rectangular coordinate system which uses linear measurements
to specify a location. The State Plane Coordinate system was designed to
define the location of points within a restricted geographical area. A standard
for altitude data is also included that is represented by the vertical distance
between a point and the National Geodetic Vertical Datum - roughly sea
level.
5.4.13. FIPS PUB 92, Guideline for Standard Occupational Classification
(SOC) Codes
This standard specifies two, three and four digit numeric codes classifying
work categories. These categories are based on the actual work performed and
not other factors such as skill level, place of work, licensing required, etc. The
Agency Catalog of Data Policies and Standards Page 19
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two digit numerics are high level categories and the three and four digit
numerics are further levels of subdassifications.
5.4.14. FIPS PUB 95, Codes for the Identification of Federal and Federally
Assisted Organizations
Four digit numeric codes are defined for each organization funded by the
United States Government. The code consists of the two-digit Treasury
Agency Symbol (TAS) followed by a two-digit subdivision code. The
Department of Treasury maintains this number. The types of organizations
covered include the Legislative, Judicial, and Executive Branches, other
Independent Federal and Quasi-Federal Organizations, Independent Federal-
State and Interstate Organization, and International Organizations.
5.4.15. FIPS PUB 103, Hydrologic Units
The U.S. Geological Survey developed two to eight digit numeric codes
identifying each major hydrological area in the U.S. and the Caribbean. The
codes are hierarchical and begin with 2-digit codes at the top identifying the 21
major hydrological regions. 4-digit codes subdivide the regions into 222
subregions; 6-digit codes subdivide subregions into 352 accounting units; 8-
digit codes further subdivide the accounting units into approximately 2,150
cataloging units. In addition to numeric codes, the standard provides names
for each unit which are unique within a branch of the hierarchy.
5.4.16. Proposed FIPS for Spatial Data Transfer Standard (SDTS)
This proposed standard provides specifications for the organization and
structure of digital spatial data transfer, definition of spatial features and
attributes, and data transfer encoding. The purpose of the standard is to
promote and facilitate the transfer of digital spatial data between dissimilar
geographic information systems or other computer systems.
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6. INTERNATIONAL DATA POLICIES, GUIDELINES, AND STANDARDS
6.1. Overview
There is an increasing need, both nationally and internationally, for data
standards to ensure compatible environmental data. Environmental data that are
compatible, and can be compared on both local and global scales, are fundamental to a
number of important international and multi-disciplinary research programs. Most
environmental data bases have been established to assemble or archive data for
narrowly specified uses, such as monitoring or enforcing regulations. The techniques
and standards used during the collection of the data in these data bases are tailored to
their individual purposes, and therefore vary widely.
The increasing need for compilations of environmental information, for a wide
range of subjects in regions of overlapping interests, has increased the need for
ensuring compatibility among data sets. This will require that careful attention be
given to the acceptance and promulgation of uniform techniques of environmental
measurements and data management, along with development of a shared
understanding of the environmental processes that link the characteristics being
measured.
In 1990, a workshop on "Directions for Internationally Compatible
Environmental Data" was held to bring together representatives from programs
involving environmental data measurement and use. The workshop emphasized
major programs and the measurement and data management problems associated with
them. The main goals of the workshop were to assess current status and projected
needs for:
• measurement standards and methods for air, water, and soil environments,
• data banks and the efficient dissemination of environmental data, and
• background measurements and global monitoring.
The workshop was subdivided into four main categories: air, water, soils, and data
management (both water and soils included biota). These four areas were subsequently
divided further into small working groups to maximize the opportunity for
meaningful discussions. The workshop was intended to encourage further action, not
only by CODATA, a subcommittee of the International Council of Scientific Unions,
but also by other existing organizations that deal with environmental measurements.
The workshop sought to promote better international data compatibility, quality,
exchangeability and utilization.
Agency Catalog of Data Policies and Standards Page 21
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6.2. Applicability
With the Agency's growing concern for internationally compatible data, EPA will
most likely participate in the development of and use of international standards to
promote environmental data compatibility.
6.3. Location
The results of this formative workshop are documented in a publication entitled,
"Directions for Internationally Compatible Environmental Data", by G.C. Carter and B.I.
Diamondstone. This publication is available in the Headquarters Library.
Page 22 Agency Catalog of Data Policies and Standards
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BIBLIOGRAPHY
SUPPLEMENTAL STANDARDS AND GUIDELINES FOR DATA
ADMINISTRATION
Federal Information Processing Standard Publications (FIPS Pubs)
FTPS PUB 76 Guideline for Planning & Using a Data Dictionary System
FIPS PUB 77 Guideline for Planning & Management of Database Applications
FTPS PUB 88 Guideline on Integrity Assurance and Management of Database
Applications
FIPS PUB 110 Guideline for Choosing a Data Management Approach
FIPS PUB 123 Specification for Choosing a Data Management Approach
FTPS PUB 124 Guideline on Functional Specifications for Database Management
Systems
FIPS PUB 126 Database Language NDL (Adopts ANSI X3.133 -1986)
FIPS PUB 127 Database Language SQL (Adopts ANSI X3.135 -1986)
FIPS PUB 156 Information Resource Dictionary System (IRDS))
Relevant Publications
Durrell. Durell, William. Data Administration: A Practical Guide to Successful Data
Management, McGraw-Hill, 1985.
Martin. Martin, James. Information Engineering, Book II: Planning & Analysis,
Prentice Hall, 1990.
Date. Date, C.J. An Introduction to Database Systems, Volume I, 5th ed., Addison
Wesley, 1990.
Diamondstone. Diamondstone, Barry I. Directions for Internationally Compatible
Environmental Data, Hemisphere Publishing Corporation, 1990.
Agency Catalog of Data Policies and Standards Page 23
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APPENDIX A
1. Policy on Electronic Reporting, July 30, 1990 A-l
2. IRM Policy Manual, Chapter 3, "State/EPA Data Management" A-5
3. IRM Policy Manual, Chapter 5, "Data Standards" A-13
4. IRM Policy Manual, Chapter 13, "Locational Data" A-17
5. Chemical Abstract Service Registry Number Data Standard, EPA
Order 2180.1, June 26, 1987 A-23
6. Data Standards for Electronic Transmission of Laboratory
Measurement Results, EPA Order 2180.2, December 10, 1987 A-27
7. Facility Identification Data Standard, EPA Order 2180.3, April 9,1990 A-87
8. Minimum Set of Data Elements for Groundwater, EPA Order No.
7500.1, September 11,1989 A-103
Agency Catalog of Data Policies and Standards Page 25
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Monday
July 30, 1990
Part II
Environmental
Protection Agency
Policy on Electronic Reporting; Notice
A-l
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31030
Federal Register / Vol. 55, No. 146 / Monday, July 30. 1990 / Notices
ENVIRONMENTAL PROTECTION
AGENCY
[FRL-3S1S-4]
Policy on Electronic Reporting
A. Purpose
This policy establishes a uniform
Agency approach to electronic reporting
by the regulated community, that is. to
their submission of reports in an
electronic or magnetic medium. This
policy is intended to promote the
adoption of electronic reporting by EPA
programs, and to ensure that as they
implement this technology they do so in
a manner that is both consistent across
the Agency and compatible with the
electronic reporting practices that are
current in the regulated community.
B. Applicability
This policy applies in every case
where EPA programs are requesting or
requiring reports from members of the
regulated community, including those
cases where reports are required or
requested of Federal facilities. This
policy applies whether the recipients of
the reports are EPA programs at
headquarters or in regional offices, or
State or local government agencies.
However, this policy is not intended
to disrupt existing systems of electronic
reporting; therefore, this policy does not
apply to systems in place before its
effective date, or to any subsequent
enhancements of such systems. In
addition, this policy does not apply to
transfers of data or information that are
internal to EPA itself.
C. Force of Thi* Policy
1. For EPA Programs
This policy is intended as guidance to
EPA programs, that they will follow to
the extent practicable. Program offices
initiating nonconforming systems should
be aware that the National Institute of
Standards and Technology (NIST) has
proposed a Federal Information
Processing Standard (FTPS) for
electronic data interchange (EDI). 54 FR
38424 (September 18.1989). If
promulgated, this FTPS would require all
agencies procuring or upgrading EDI
systems after the effective date to use
either the ANSI X12 or UN/EDIFACT
standards, and it is these standards that
are adopted in this policy as well.
2. For the Regulated Community
This policy is intended to inform the
regulated community of the general
approach that EPA will take to
electronic reporting. As individual
programs adopt electronic reporting
within the framework of this approach.
they will specify the obligation* of their
respondents to comply with the
standards and procedures they develop.
3. For States and Local Governments
This policy is intended to inform State
and local governments of the general
approach that EPA will take to
electronic reporting. However, this
policy recognizes that as the Agency
institutes electronic reporting for
specific State-delegated programs,
acceptable approaches will require
consultation and collaboration with the
affected organizations, as well a*
accommodation of their needs,
capabilities and available resources.
O. Background
For the purposes of this policy
statement electronic reporting include*
any case of transferring data (or
information) using an electronic or
magnetic medium. Electronic media
include telecommunication*
transmissions as well as direct
computer-to-computer links; magnetic
media include disks, diskettes and
tapes. In both business and government,
electronic reporting is rapidly becoming
the preferred mode for transferring data:
compared to paper, it greatly increase*
the speed at which the transferred data
can be processed, if only because it
eliminates the need to rekey the data
into a recipient's database. By
eliminating this rekeying—and by
eliminating the need to produce and
physically transfer paper—electronic
reporting usually reduces the coat and
improves the accuracy of the data
transfer as well.
Some of the most familiar cases of
electronic reporting deal with financial
data: in the world of business, the
electronic transfer of funds that we now
take for granted, and. in government, the
increasingly prevalent electronic filing
of tax returns. We may also find
examples of electronic reporting at EPA:
the electronic transmission of laboratory
measurement results, codified in EPA
Order 2180.2, and the magnetic
submission of Form R Toxic Release
Inventory data, provided for in the EPA
guidance document 'Toxic Chemical
Release Inventory Magnetic Media
Submission Instructions". Nonetheless,
the dominant force in electronic
reporting lies elsewhere—in the realm of
what is commonly known as "electronic
data interchange" or "EDI".
Historically. EDI arose from efforts ia
certain industries to standardize the
formats and procedures for the
electronic transmission of such routine
business documents as purchase orders
and invoices. The goal was to create
com.Tion definitions for these electronic
transactions that would allow
participants to avoid the unacceptable
costs of making and maintaining unique
arrangements with each of their trading
partners. As industry participation has
broadened, the EDI standard setting
process—at least in this country—has
come to reside in the American National
Standards Institute (ANSI), a »
nongovernmental body founded in 1918-
to coordinate America's voluntary
standards system. In 1979, ANSI
established the X12 committee to
oversee the development of standards
for the electronic exchange of business
information. The resulting EDI standards
are known generally as the "ANSI Xl2"
•Undards. There is a similar, though
discrete, standard setting effort for
international transactions, sponsored by
the United Nations. The standards in
this case are referred to as the "UN/
EDIFACT" standards (for United
Nations EDI for the Administration of
Commerce and Transport). Given
current business trends, it appears likely
that over the next decade or so the use
of ANSI X12 in the United States will
give way to EDIFACT.
While they are not identical, ANSI
and EDIFACT standards are structually
parallel, each consisting of four
interrelated groups of standards: the
data element dictionaries and tables, the
segment directory, the transaction set
standards, and the transmission control
standards. Very generally:
• The data element dictionaries
define the data elements that can be
transmitted and provide standard codes
for them; tables provide the range of
standards values for certain of the data
elements;
• The segment directory defines the
syntax for allowable combinations of
data elements—segments often
corresponding to a single line on a
hardcopy document;
• The transaction set standards
define electronic documents—such as
invoices and purchase orders—in terms
of the allowable sequences of segments
out of which they may be formed; and
• The transmission control standards
provide the "envelope" for the electronic
documents—defining such things as how
the transaction sets are identified, how
they may be grouped, how the sender
and receiver are identified, how
beginnings and ends of documents are
marked, and providing procedures for
starting transmission and
acknowledging receipt.
Both within ANSI and EDIFACT.
these four groups of standards serve
primarily to set a uniform format for the
content of messages. For the most part.
they are equally applicable !o
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Federal Register / Vol. 55, No. 148 / Monday. July 30, 1990 / Notices
31031
sent in a magnetic medium—such as
floppy disk or 9-track tape—or
transmitted via telecommunications.
Moreover, by design, the standards are
compatible with a very broad range of
hardware/software configurations
housing the senders' and recipients'
databases—in environments that range
from mainframe to personal computer.
Both the ANSI and EDIFACT
standards are supported by an extensive
array of commercially available
software products that automate the
process of translating; between these
standard formats and the particular
structure of a sender's or recipient's
database. Some of these products also
automate the process of transmission.
sometimes in conjunction with the
services of a commercial network or
electronic mail service. In addition, the
increasing private and public sector use
of the X12 standards has generated a
body of accepted practices to deal with
confidential business information (CBI).
signature/certification, data security,
and other issues raised by electronic
reporting.
At least within the ANSI framework,
standards now exist for a broad range of
transaction sets, and includes the
material safety data sheet (MSDS). The
segment and data element standards are
correspondingly broad: moreover, they
are readily amended to cover additional
data. It is especially easy to add new
data element values; indeed, a number
of industries maintain their own data
element tables, which they can amend
without prior ANSI approval.
Given these features, it is likely the
ANSI framework—and increasingly the
EDIFACT framework as well—will
accommodate virtually all of the
reporting to which this policy statement
applies. Even as they stand, the ANSI
data dictionaries and segment
directories include a rich vocabulary
and syntax for such tasks as identifying
facilities, describing chemical properties
and characterizing hazards, and the
existing transaction sets will
accommodate many if not all of EPA's
standard reports. In addition, the
transmission standards—to the extent
that they are applicable—can probably
be used without modification. The ANSI
and EDIFACT frameworks, therefore,
appear to offer the Agency a ready-
made and widely accepted approach (or
approaches) to electronic reporting. To
take this approach in a particular case
would largely be a matter of specifying
how the particular EPA report was to be
translated into existing ANSI or
EDIFACT segments and data elements—
as necessary, adding data elements/
values and segments conforming to
ANSI/EDIFACT syntax.
This approach offers many
advantages. Most obviously, it should
minimize the cost and burdens of
electronic reporting for the regulated
community, since it would largely
accommodate their existing EDI
capabilities. Comments received in
response to the Federal Register notice,
"Formation of an Agency Workgroup to
Consider Uniform Standards for the
Electronic Reporting of Data", make this
clear. 54 FR15251 (April 17.1989).
Equally important, it should help
minimize costs for EPA. providing much
of the specification for electronic reports
ready-made, and allowing programs to
avail themselves of relatively
inexpensive, commercially available
EDI translation software in lieu of
custom programming. In addition, it
should put the Agency in better position
to meet future needs for electronic
dissemination of EPA information
products, and give Agency programs
easier access to each other's data. These
considerations motivate many of the
provisions of this policy.
E. General Policy on Electronic
Reporting
1. Offering the Option of Electronic
Reporting
EPA programs should strive to the
extent practicable to offer their
regulated communities the option of
submitting reports electronically
wherever it is reasonable to expect that
this will:
• Reduce the costs and/or burdens of
reporting for a significant segment of the
regulated community, or
• Reduce the overall costs and/or
increase the overall benefits of this
reporting for the program.
2. Keeping Electronic Reporting
Optional
While the cost/benefit ratio for
electronic reporting generally improves
as the number of participants increases,
programs must do nothing to coerce
members of their regulated communities
into reporting electronically. Where
offering the option of electronic
reporting, programs must always allow
paper submissions as an alternative.
F. Policy on the Approach to Electronic
Reporting
1. Conforming to Established National
or International Frameworks for
Electronic Data Interchange (EDI}
Except in the cases described under
paragraph F.3. programs implementing
electronic reporting should do so within
one or both of the two frameworks
provided by the ANSI X12 and UN/
EDIFACT standards. Within the ANSI
X12 or UN/EDIFACT frameworks,
programs should ensure that:
• The format specifications they set
for the electronic submission of
particular reports conform—to the
extent practicable—to existing data
dictionaries and value tables, and to ,*
existing segment and transaction set'
structures:
• The submission procedures they set
conform to existing transmission control
standards to the extent that such
standards apply;
• Any data elements or values, or
segments or transaction sets that their
implementations add to existing
standards are—to the extent
practicable—compatible with the syntax
of the framework-
2. Considering Electronic Reporting
Within the EDIFACT Framework
Programs implementing electronic
reporting should consider the possibility
that EDI participants in their regulated
communities may—or may soon—be
migrating from ANSI X12 to the UN/
EDIFACT framework. A program should
adopt whichever framework they
reasonably expect will predominate in
their regulated community within the
relatively near term. Programs may also
wish to weigh the relative costs and
benefits of implementing electronic
reporting within both ANSI and
EDIFACT—in effect maintaining a "bi-
lingual" electronic reporting system.
3. Cases Outside the ANSI and
EDIFACT Frameworks
This policy recognizes that there are
cases where the practices or capabilities
that predominate in a regulated
community—or other factors, such as
the unique or nonrecurring nature of the
data collection—indicate that electronic
reporting outside the ANSI and
EDIFACT framework ia or will be the
most cost-effective approach for all
parties concerned. In such cases, this
policy encourages programs to
implement electronic reporting in a
manner that best fits the special
circumstances at hand—whether or not
the implementation conforms to ANSI or
EDIFACT standards. Programs that take
such an approach, however, should
ensure that:
• Their implementation is compatible
with the electronic reporting practices or
capabilities that predominate in their
regulated community, at least.for the
kind of data being transferred: and
• In any case, their approach does r.jt
involve more expense or burden than
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Federal Register / VoL 55. No. 146 / Monday. July 30. 1990 / Notices
would implementation within ANSI or
EDIFACT.
G. Policy on Hardware/Software
Options for Electronic Reporting
1. Ensuring Compatibility With the
Broadest Possible Range of Sender
I lard ware/Software
Regardlesa of the approach taken,
programs should minimize the need for
members of the regulated community
wishing to report electronically to
reconfigure their systems.
2. Allowing far a Broad Range of
Electronic/Magnetic Media
In the interest of allowing the widest
participation in electronic reporting,
programs should not arbitrarily restrict
the acceptable media for electronic
reporting. However, programs may
legitimately impose such restrictions
where accepting certain media would
involve unacceptable costs or
administrative burdens for the Agency.
H. Taking Account of the Needs of
State/Local Government Recipients of
Data
This policy will apply in many cases
where the recipients of data from the
regulated community will include State
and local government agencies. In these
cases, programs should:
• Include the effects on State and
local government agencies in
considering the costs and the benefits of
adopting electronic reporting, and
• Refrain from taking any approach to
electronic reporting that will impose
unacceptable costs on State or local
government agencies.
L Coordinating the Implementation of
Electronic Reporting
1. Establishing an Agency Coordinating
Committee for the Implementation of
Electronic Reporting
When this policy becomes effective,
the Electronic Reporting Standards
workgroup will be reconstituted as a
Coordinating Committee for the
Implementation of Electronic Reporting.
2. Setting Format Specificationa far
Agency Reports
To the extent practicable, programs
should consult with the Coordinating
Committee as they set format
specifications for Agency reports, to
ensure that segments and data elements
and values used by more than one
program are represented uniformly—
within the ANSI or EDIFACT
frameworks—across the Agency.
3. Obtaining the Hardware and
Software to Support Electronic
Reporting
To the extent practicable, programs
should consult with the Coordinating
Committee as they obtain the hardware,
software and related services that they
will use to conduct their ANSI- or
EDIFACT-based electronic
transactions—so that they make the
most of opportunities to share resources.
4. Liaison With EDI Standards
Committees
The Coordinating Committee will
serve as the Agency liaison for
electronic reporting with other Federal
agencies and with the standards
committees sponsored by the ANSI and
EDIFACT organizations. Where
programs amend ANSI or EDIFACT
standards in the course of setting
specifications for particular Agency
reports, they should inform the relevant
standards committees of their activities
by communicating through the
Coordinating Committee. On a case-by-
case basis, the Coordinating Committee
may decide to seek formal ANSI or
EDIFACT recognition for Agency
amendments. However, the adoption
and use of particular reporting
standards are under the control of the
Agency, and ere not dependent upon
formal ANSI or EDIFACT recognition.
]. Responsibilities for Implementation
The Office of Policy, Planning and
Evaluation (OPPE), the Office of
Information Resources Management
(OIRM), and the programs will share the
responsibilities for implementing
electronic reporting under this policy.
with the advice of the Coordinating
Committee established under paragraph
I.I. Specifically:
• OPPE will convene and chair the
Coordinating Committee, will ensure
that this policy receives appropriate
consideration in regulation developmsnt-
through the Agency Steering Committee
process, and will foster compliance with
this policy through the Paperwork
Reduction Act clearance process;
• OIRM will provide the Coordinating
Committee with technical leadership—
particularly in addressing issues of
systems coordination—will provide
technical support to programs as they
implement electronic reporting, and will
foster compliance with this policy
through their various information
resource management program
authorities;
• The programs will incorporate
electronic reporting considerations into
their information collection and system
life cycle planning processes, with
review by their senior information
resources management officials
(SIRMOs). The programs will develop
the specifications and procedures for the
electronic submission of particular
Agency reports—to meet their
individual information needs—in
compliance with the relevant provisions
of this policy. The programs will also be
responsible for developing whatever
procedures they need to assure CBL
data security, and privacy, or to deal
with other concerns. They will be
responsible for communicating these
specifications and procedures to their
regulated communities and to affected
States and local governments.
Dated: July 20,1990.
Dan Beunbtov,
Acting Assistant Administrator.
[FR Doc. 90-17692 Filed 7-27-flO; &45 amj
Biujwo coce «seo-*o-M
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CHAPTER 3 - STATE/EPA DATA MANAGEMENT
1. PURPOSE. This policy establishes the principles that govern
the management and sharing of data between EPA and State
environmental agencies and the information systems that
handle these data. This policy also defines roles and
responsibilities for implementing and ensuring adherence to
these principles.
2. SCOPE AND APPLICABILITY. This policy is applicable to all
EPA programs and Regional offices that develop and operate
information systems that are used by the states or that
contain data reported to EPA by States.
3. BACKGROUND.
a. The underlying rationale for EPA's policy on State
delegation includes a recognition that more effective
environmental protection results when Federal goals and
regulations are implemented in a fashion that is respon-
sive to the diversity of local conditions. EPA's policies
on information management must reflect this same balance
of compliance with Federal statutes and priorities and
responsiveness to local diversity.
b. Federal policy, as most recently set forth in OMB Circular
A-130, specifies that Federal agencies may "not require
Federal information systems that unduly restrict the
prerogatives of heads of State and local government
units..."
c. EPA remains responsible and accountable to the President,
the Congress and the public for progress toward meeting
national goals and for ensuring that Federal statutes
are adequately enforced. In accordance with "EPA Policy
on Oversight of Delegated Environmental Programs,n April
4, 1984, the Agency has the responsibility to oversee
the conduct of delegated inter-governmental programs, to
enhance State capabilities to administer environmental
protection programs and to analyse the status of State,
regional and national environmental quality through
ongoing monitoring and data collection efforts.
d. EPA's policy of delegating program implementation
responsibility to states means that the ultimate
effectiveness of the Agency depends, to a very large
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extent, on the effectiveness of State program managers.
Among the several factors that determine the success of
State program managers is their capacity to obtain and
use management and environmental information.
e. EPA's ability to oversee and support State performance
of delegated programs, and to report on these programs
to the President, the Congress and the public, is also
heavily dependent upon accurate and timely State
information resources and systems.
f. EPA seeks to improve environmental decisions by more
consistent and reliable estimation of health risk based
on sound data and analysis methods and by integrating
permitting, regulatory and compliance efforts across
program lines. Improvement in the information management
systems will result in more timely, quality assured data,
a more integrated risk assessment and overall better
State/EPA program management.
g. Although each has requirements that differ in detail and
emphasis, there are substantial benefits to EPA and to
State agencies if both have timely, reliable access to
the same basic management and environmental information.
h. Most EPA programs have developed data systems to receive
State reports and to provide the reports and analysis
required by national program managers. There are substan-
tial benefits to EPA when States agree to meet Agency
reporting requirements by entering data directly into
these systems. In at least some cases. States also
benefit by gaining access to data and information systems
capabilities that they cannot develop on their own.
However, the benefits to States from using EPA information
systems to report or to process data depend on several
factors: .
(1) The existing State investment in its own information
systems
(2) The accessibility and reliability of the EPA systems
for both entering and retrieving data
(3) The reliability and quality of EPA user support
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(4) The extent to which EPA systems contribute to State
management objectives as the integration of environ-
mental and management data, both across programs
delegated from EPA and other State programs
(5) The costs in using such systems both in actual
dollars and resources necessary for use.
4. AUTHORITIES.
a. OMB Circular A-130, Management of Federal Information
Resources.
5. POLICY. It is EPA policy that Agency reporting requirements
and information systems will be responsive to the information
needs of State environmental agencies and will take into
account the diversity among States in terms of organization,
resources and program responsibilities. EPA systems that
process and store data obtained from States will adhere to
data management policies that avoid duplication of data and
effort and promote integrated environmental program planning
and management, both within States and between States and
EPA. EPA will assure timely and reliable State access to
any Agency information system that contains data obtained
from States in response to EPA reporting requirements.
a. As required by OMB Circular A-130, EPA will adhere to
reporting and information systems policies that do not
unduly restrict State prerogatives to plan and manage
information resources in response to State policy and
management priorities.
b. EPA information systems that process and store data
provided by States in response to EPA reporting require-
ments will, insofar as practical, be developed and operated
to accommodate State management needs. More specifically:
(1) EPA will ensure that States are afforded an active
role in developing, improving and modifying informa-
tion systems through the establishment of user
groups, policy groups and other mechanisms which
promote continuing State/Federal interaction.
(2) EPA will, insofar as practical, design such systems
with the flexibility to accommodate State needs for
related data standards that facilitate state informa-
tion systems planning and the integration of data
across EPA and State program lines.
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(3) EPA will develop such systems in adherence to
technology and data standards that facilitate State
information systems planning and the integration
of data across EPA and State program lines.
(4) EPA will design such systems to accept direct,
electronic transmission of data from States that
operate their own information systems.
(5) EPA will design such systems to support direct,
electronic transmission of data to States from EPA
systems to support local data analysis.
(6) EPA will strive to achieve consistency in design
and access methods consistent with current industry
technology.
c. New EPA systems and data bases developed to process and
store data obtained from State environmental agencies
shall be designed to support timely and reliable State
access to these data. Existing EPA systems that contain
State data should allow for timely and reliable State
access. Timely and reliable State access will vary
according to the nature of the data and the system;
however, for EPA's major national systems and data bases,
it means:
(1) Direct, on-line State access to current data files
(2) The use of software and data communications techno-
logies that adhere to Agency standards and that
support efficient State access for reporting and
retrieval of data
(3) The provision of documentation and user assistance
to State users on a consistent and current basis.
d. For those States which agree to meet EPA reporting
requirements by directly entering data into EPA systems,
the Agency will regard such data as the official State
record of the delegated program. EPA will not unilaterally
change these data, since doing so would force the State
to maintain a separate system of records.
e. EPA will allow the States at their option to enter data
regarding non-delegated programs into the EPA systems.
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However, States are not mandated to meet the same
requirements in the non-delegated programs that they are
obliged to meet for the delegated ones.
f. EPA will support the use of State grant funds to develop
State information resources and technology to the extent
that doing so is consistent with the purposes for which
these funds were appropriated. EPA will seek State
proposals which assign funds from one or more EPA grants
for information resources and technology that:
(1) Promote the integration of environmental planning
and management across State and EPA program lines
(2) Foster improved data sharing between EPA and the
State.
g. EPA will design and manage its computing and data
communications network to support timely and reliable
State access to EPA systems and data bases. EPA's pursuit
of this goal will be based on the following assumptions:
(1) The achievement of this goal is dependent on the
constraints of available resources.
(2) EPA does not seek to be the primary or the "first
choice" computing resource for any State environmental
agency.
(3) EPA does not seek to provide computing and
telecommunications services to States in lieu of
or in competition with either State or commercial
sources.
h. EPA recognizes one of the advantages of sharing data is
reduced reporting by the States. Therefore, if a state
is entering data directly into the EPA system, EPA will,
insofar as practicable, adhere to data management policies
that avoid duplication of data and effort and not require
that the State report this information in additional
formats.
6. RESPONSIBILITIES.
a. The Office of Information Resources Management shall:
(1) Develop guidelines and programs to ensure that
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Agency reporting requirements and information systems
are defined and implemented in accord with this
policy.
(2) Provide guidance and assistance to Assistant
Administrators, Associate Administrators and Regional
Administrators in implementing the requirements
of this policy.
(3) Plan and oversee the acquisition, deployment and
use of information technology within EPA to ensure
support for effective management and sharing of
data by EPA and State environmental agencies.
(4) Ensure EPA compliance with Federal statutes and
regulations governing the acquisition, operation
and use of information technology employed to share
data between EPA and State agencies.
(5) Evaluate and report on the effectiveness of Agency
activities in achieving the goals of this policy.
b. National Data Processing Division shall:
(1) Design and manage the acquisition and operation of
data processing and telecommunications resources to
support effective management and exchange of data
between EPA and State environmental agencies.
(2) Develop standards for EPA data processing and
telecommunications technology services that support
the goals of this policy.
(3) Provide technical advice and assistance to EPA and,
upon request, to State environmental agencies
concerning the acquisition and implementation of
information technology to achieve the goals of this
policy.
c. Assistant Administrators and Associate Administrators
shall assure:
(1) That state agency requirements for information and
information technology are addressed in the design
and implementation of EPA programs.
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(2) That the information systems and data management
practices of programs and activities under their
direction are in accord with this policy.
(3) Effective State participation in the design and
operation of national information systems and data
bases that contain data reported by States and
provide timely and reliable access by States to
such data bases.
d. Regional Administrators shall assure that:
(1) State requirements for information and information
technology are effectively addressed in State delega-
tion agreements, State grants and other agreements
between EPA and States.
(2) Regional procedures for handling and validating
State-reported data guarantee the integrity and
accessibility of such data as required by this
policy.
(3) The Regional Office has an effective program to
foster and support State/EPA data management and
sharing that meets at a minimum EPA Federal reporting
requirements.
e. The Office of Administration shall:
(1) Develop and implement policies and procedures to
assure that information collection and processing
activities performed by EPA contractors and grantees
comply with this policy.
7. DEFINITIONS.
a. "Data" refers to a collection of unorganized facts that
have not yet been processed into information.
b. "Data Base" is a collection of integrated data that can
be used for a variety of applications.
c. "Data Communications" refers to computer-to-computer,
computer-to-device, device-to-computer communications
and other communications such as a record, tele-processing
and telemetry.
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d. "Information Technology" refers to the hardware and
software used in connection with government information,
regardless of the technology involved, whether computers,
telecommunications, micrographics or others.
e. "Software" refers to computer programs, procedures,
rules and associated documentation pertaining to the
operation of a computer system.
f. "Telecommunications" is the transmission and/or reception
of information by telephone, telephone lines, telegraph,
radio or other methods of communication over a distance.
The information may be in the form of voice, pictures,
text and/or encoded data.
8. PROCEDURES AND GUIDELINES. Procedures and guidelines will
be issued under separate cover.
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CHAPTER 5 - DATA STANDARDS
1. PURPOSE. This policy establishes the EPA Data Standards
Program. The purpose of this program is to provide consistent
definition of data and to facilitate cross-media use of data.
This policy sets forth Agency principles on data standards
and assigns organizational responsibilities for implementing
and administering common data standards.
2. SCOPE AND APPLICABILITY. This policy applies to all
Environmental Protection Agency (EPA) organizations and
their employees. It also applies to the facilities and
personnel of agents (including contractors and grantees) of
EPA who design, develop, operate or maintain Agency information
and information systems. This policy applies to automated
and manual systems developed for programs or administrative
purposes. The requirements of this policy apply to existing
data elements as well as ne'w data elements.
3. BACKGROUND.
a. Integration of information and data bases is difficult
because program offices use disparate formats and names
for similar data elements.
b. There is a need to make and support decisions based on
standard information and data collected that cuts across
the Agency's programs.
c. Specific programs, such as the Ground-water program,
have an increasing need to share data from other programs,
other agencies. States and local governments. This adds
credence to the need for acceptable data standards to
facilitate exchange of information.
d. Information technology has reached a point at which the
sharing of data among automated systems is technically
feasible.
e. The Agency has implemented standards for hardware and
software that facilitate the sharing of data among programs
f. To support effectively the use of common definitions of
environmental data with State programs, EPA must have
common definitions for data elements and an intra-agency
capability to share data.
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g. Organizations outside EPA have been establishing data
standards which are accepted nationally or internationally.
These pre-existing standards, such as Chemical Abstract
Service (CAS) registry numbers, may serve as the best
data standard for certain data elements.
h. There is a growing need for agreement on the definition
of Agencywide parametric data entities such as "site"
and "facility."
i. The Agency has a facilities inventory system that lists
facilities regulated by the various programs in EPA.
The inventory includes the different names and addresses
for a single facility. This system will be a critical
part of the Agency data standards effort.
j. At a minimum, there are six major areas which would
benefit from the use of data standards: data used in
more than one program, facilities and site data, geographic
data, measurement data, health and environmental effects
data and core office systems data.
4. AUTHORITIES.
a. 15 CPR, Part 6 Subtitle A, Standardization of Data Elements
and Representations.
b. OMB Circular A-1.30, Management of Federal Information
Resources.
5. POLICY. It is EPA policy to create and maintain consistency
in the form of data elements that have more than one applica-
tion within the Agency. This consistency will permit the
cross media approach necessary to achieve environmental
results. The data standards will reflect the Agency's program
priorities.
a. As required by OMB circular A-130, EPA will adhere to
Federal Information Processing Standards (PIPS), except
where it can be demonstrated that the costs of using a
standard exceed the benefits of the standard or will
impede the Agency in accomplishing its mission.
b. All organizational components of EPA, their contractors
or grantees will promote the full utilization of Federal
and Agency data standards and representations in the
design and development of information systems.
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c. Data elements, codes and representations already in use
by the Agency will be evaluated and adopted as Agency
standards wherever practicable.
d. Data elements, codes and representations may be recommended
for standardization by any program office within EPA.
e. Geographical information systems developed by the Agency
must conform to an established set of appropriate data
standards which permit the use of the system by all
relevant programs and State agencies.
f. All relevant facilities or sites data must be stored in
the Agency's facility or site inventory systems.
6. RESPONSIBILITIES.
a. The Office of Information Resources Management (OIRM)
shall:
(1) Provide effective leadership in developing,
promulgating and enforcing the policies of the
Agency data standards program.
(2) Coordinate the evaluation and approval process of
all data standards with the Assistant Administrators,
Regional Administrators, Office Directors and Senior
Information Resources Management Officers.
(3) Exercise final approval authority for the adoption
of data standards. Grant waivers to the implementa-
tion of approved Agency data standards.
(4) Support other EPA data administration efforts, e.g.,
encourage cross reference files for non-standard
information. Encourage the use of data element
dictionaries.
(5) Propose and apply effectively data elements or
representations for use by more than one organizational
component of EPA as Agency standards.
(6) Publish and promulgate approved Agency standards in
an EPA Data Standards Catalog.
b. Assistant Administrators, Associate Administrators,
Regional Administrators, Laboratory Directors, Headquarters
Staff Office Directors, General Counsel, Inspector General,
and SIRMOs shall: . _
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(1) implement approved Agency data standards that are
published under the provisions of this policy.
(2) Establish an organization-wide data standards work
group which reviews and provj .:es information and
comments on proposed data standards.
(3) Propose the adoption of data standards for Agency
use within the environmental community.
(4) Submit requests for waivers or deferments to the use
of Agency data standards to OIRM.
7. DEFINITIONS.
a. "Data Element" is a unit of information used to describe
data characteristics and attributes, e.g., eyes - blue or
BL.
b. "Data Standards" are standards used generally, but not
exclusively, for automated systems to ensure that one
type of data is defined the same way in all systems. A
similar definition means having the same name, the same
number of maximum characters and the same type and content
of data in all systems where a specific data item appears.
c. "Information Technology" refers to the hardware and
software used in connection with government information,
regardless of the technology involved, whether computers
telecommunications, micrographics or others.
d. "Media" means Water, Air, Hazardous Waste and Pesticides
and Toxic Substances program offices.
e. "System" is the organized set of procedures used to
collect," transmit and disseminate information whether
automated or manual.
8. PROCEDURES AND GUIDELINES. Procedures and guidelines for the
Agency data standards program will be issued under separate
cover.
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CHAPTER 13 - LQCATIQNAL DATA
PURPOSE . This policy establishes the principles for
collecting and documenting latitude/longitude
coordinates for facilities, sites and monitoring and
observation points regulated or tracked under Federal
environmental programs within the jurisdiction of the
Environmental Protection Agency (EPA) . The intent of
this policy is to extend environmental analyses and
allow data to be integrated based upon location, thereby
promoting the enhanced use of EPA's extensive data
resources for cross-media environmental analyses and
management decisions. This policy underscores EPA's
commitment to establishing the data infrastructure
necessary to enable data sharing and secondary data use.
2. SCOPE AND APPLICABILITY, ^his policy applies to all
Environmental Protection Agency (EPA) organizations and
personnel of agents (including contractors and grantees)
of EPA who design, develop, compile, operate or maintain
EPA information collections developed for environmental
program support . Certain requirements of this policy
apply to existing as well as new data collections.
3. BACKGROUND .
a. Fulfillment of EPA's mission to protect and improve
the environment depends upon improvements in cross-
programmatic, multi-media data analyses. A need
for available and reliable location identification
information is a commonality which all regulatory
tracking programs share.
b. Standard location identification data will provide
a return yet unrealized on EPA's sizable investment
in environmental data collection by improving the
utility of these data for a variety of value-added
secondary applications often unanticipated by the
original data collectors.
c. EPA is committed to implementing its locational
policy in accordance with the requirements
specified by the Federal Interagency Coordinating
Committee for Digital Cartography (FICCDC) . The
FICCDC has identified the collection of
latitude/longitude as the most preferred coordinate
system for identifying location. Latitude and
longitude are coordinate representations that show
locations on the surface of the earth using the
earth's equator and the prime meridian (Greenwich,
England) as the respective latitude and longitude
origins .
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•'i. The Stste/S?A Data Management Program is a
successful multi-year initiative linking State
environmental regulatory agencies and EPA in
cooperative action. The Program's goals include
improvements in data quality and data integration
based on location identification.
e. Readily available, reliable and consistent location
identification data are critical to support the
Agencywide development of environmental risk
management strategies, methodologies and
assessments.
f. OIRM is committed to working with EPA Programs,
Regions and Laboratories to apply spatially related
tools (e.'g., geographic information systems (CIS),
remote sensing, automated mapping) and to ensure
these tools are supported by adequate and accurate
location identification data. Effective use of
spatial tools depends on the appropriate collection
and use of location identifiers, and on the
accompanying data and attributes to be analyzed.
g. OIRM's commitment to effective use of spatial data
is also reflected in the Agency's comprehensive GIS
Program and OIRM's coordination of the Agency's
National Mapping Requirement Program (NMRP) to
identify and provide for EPA's current and future
spatial data requirements.
4. AUTHORITIES.
a. 15 CFR, Part 6 Subtitle A, Standardization of Data
Elements and Representations
b. Geological Survey Circular 878-B, A U.S. Geological
Survey Data Standard, Specifications for
Representation of Geographic Point Locations for
Information Interchange
c. Federal Interagency Coordinating Committee on
Digital Cartography (FICCDC)/U.S. Office of
Management and Budget, Digital Cartographic Data
Standards: An Interim Proposed Standard
d. EPA Regulations 40 CFR 30.503 and 40 CFR 31.45,
Quality Assurance Practices under EPA's General
Grant Regulations
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POLICY.
It is EPA policy that id:. -\-.,ae/ lor..v : • - .ie
("lat/Iong") cooru L:;a ::-.- ce to 1 L~: "t-.: a:.:;
documented with environmental and relatec data.
This is in addition to, ana act precluding, other
critical location identification data that may be
needed to satisfy individual proa ram or project
needs, such as depth, street address, elevation ~ ,-
altitude.
This policy serve's as a framework for collecting and
documenting location identification data. It
includes a goal that a 25 meter level of accuracy be
achieved; managers of individual data collection
efforts determine the exact levels of precision and
accuracy necessary to support their mission within
the context of this goal. The use of global
positioning systems (GPS) is recommended to obtain
lat/longs of the highest possible accuracy.
To implement this policy, program data managers
must collect and document the following
information:
(1) Latitude/longitude coordinates in accordance
with Federal Interagency Coofdinat ir.g
Committee for Digital Cartography (FICCDCi
recommendations. The coordinates may be
present singly or multiple times, to define -.
point, line, or area, according tc the most
appropriate data type for the entity being
represented.
The format for representing this information
is :
+/-DD MM SS.SSSS (latitude)
+/-DDD MM SS.SSSS (longitude)
where:
Latitude is always presented berore
longitude
DD represents degrees of latitude;
a two-digit decimal number ranging
from 00 thro'icTh °0
000 ••;••;• -•"• "•::''.-• :
number ranging, f-
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MM represents minutes of latitude
or longitude; a two-digit decimal
number ranging from 00 through 60
• SS.SSSS represents seconds of
latitude or longitude, with a format
allowing possible precision to the
ten-thousandths of seconds
+ specifies latitudes north of the
equator and longitudes east of the
prime meridian
• - specifies latitudes south of the
equator and longitudes west of the
prime meridian
(2) Specific method used to determine the lat/long
coordinates (e.g., remote sensing techniques,
map interpolation, cadastral survey)
(3) Textual description of the entity to which the
latitude/longitude coordinates refer (e.g.,
north-east corner of site, entrance to
facility, point of discharge, drainage ditch)
(4) Estimate of accuracy in terms of the most
precise units of measurement used (e.g., if
the coordinates are given to tenths-of-seconds
precision, the accuracy estimate should be
expressed in terms of the range of tenths-of-
seconds within which the true value should
fall, such as "+/- 0.5 seconds")
d. Recommended labelling of the above information is
as follows:
"Latitude"
"Longitude"
"Method"
• "Description"
• "Accuracy."
e. This policy does not preclude or rescind more
stringent regional or program-specific policy and
guidance. Such guidance may require, for example,
additional elevation measurements to fully
characterize the location of environmental
observations.
f. Formats, standards, coding conventions or other
specifications for the method, description and
accuracy information are forthcoming.
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6. RESPONSIBILITIES.
a. The Office of Information Resources Management
(OIRM) shall:
(1) Be responsible for implementing and supporting
this policy
(2) Provide guidance and technical assistance
where feasible and appropriate in implementing
and improving the requirements of this policy
b. Assistant Administrators, Associate Administrators,
Regional Administrators, Laboratory Directors and
the General Counsel shall establish procedures
within their respective organizations to ensure
that information collection and reporting systems
under their direction are in compliance with this
policy.
While the value of obtaining locational coordinates
will vary according to individual program
j requirements, the method, description and accuracy
j of the coordinates must always be documented. Such
I documentation will permit other users to evaluate
I whether those coordinates can support secondary
i uses, thus addressing EPA-data sharing and
j integration objectives.
| 7. WAIVERS. Requests for waivers from specified provisions
of the policy may be submitted for review to the
Director of the Office of Information Resources
Management. Waiver requests must be based clearly on
data quality objectives and must be signed by the
relevant Senior IRM Official prior to submission to the
Director, OIRM.
8. PROCEDURES AND GUIDELINES. The Findings and
Recommendations of the Locational Accuracy Task Force
supplement this policy. More detailed procedures and
guidelines for implementing the policy are issued under
separate cover as the Locational Data Policy
Implementation Guidelines.
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issification No.: 2180 .1
proval Date: 6/26/87
CHEMICAL ABSTRACT SERVICE REGISTRY NUMBER DATA STANDARD
1. PURPOSE. This Order establishes the policy and responsibilities
related to the use of registry data, specifically the Registry
Number, from the Chemical Abstracts Service (CAS) Division
of the American Chemical Society in automated information
systems containing data/information on specific, definable
chemical substances. The CAS registry number provides
consistent and unambiguous identification of chemicals and
facilitates sharing chemical information across programmatic
media.
2. SCOPE AND APPLICABILITY. This data standard applies to all
EPA organizations and their employees as well as the facili-
ties and personnel of agents of EPA who design, develop,
operate or maintain Agency information and information systems
having to do with specific, definable chemical substances.
It also applies to EPA contractors and assistance recipients.
3. REFERENCE.
Chapter 5 of the EPA IRM Policy Manual sets forth the general
principles on data standards within the Agency. This Order
relates to one of several data standards used by EPA.
4. BACKGROUND.
a. Information technology makes efficient sharing of data
among automated systems feasible, provided there exist
common definitions for data elements among the systems.
b. The CAS Registry Number is accepted nationally and
internationally as an identifier for specific, definable
chemical substances.
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c. Agency programs need access to information about chemicals
from other programs, agencies, States and local govern-
ments. There is a need for a chemical identification
data element standard to facilitate access to chemical
information.
5. POLICY.
a. Any computer-based Agency system currently in use or
being planned containing data/information on specific
definable chemical•substances shall contain the current
CAS registry number 'for each chemical substance.
b. Additional data-^selected from the CAS chemical registry
system, such as CA Index Names and Synonyms, Molecular
Formulas and the CAS Chemical Registry Records, are
optional.
6. RESPONSIBILITIES.
•\
a. The Office of Information Resources Management (OIRM)
shall:
(1) Provide effective leadership in developing,
promulgating and enforcing this data standard.
(2) Provide guidance and technical assistance in
implementing the requirements of this data standard.
b. Assistant Administrators, Associate Administrators,
Regional Administrators, Laboratory Directors, Headquarters
Staff Office Directors, the General Counsel, the Inspector
General and Senior IRM Officials shall establish procedures
within their respective organizations to ensure compliance
with the requirements of this data standard.
c. The Procurement and Contracts Management Division and the
Grants Administration Division shall establish procedures
to ensure that contractors and assistance recipients are
in compliance with the requirements of this data standard.
7. DEFINITIONS. , £
a. "CAS Registry Number" refers to a unique, identifying
number assigned by CAS to each distinct chemical substance
recorded in the CAS Chemical Registry System.
A-24
-------
EPA ORDER 2130.1
6/26/87
b. "CA Index Names and Synonyms" refers to the names recorded
in the CAS Chemical Registry System for each registered
substance. These names include the CA Index Names and
associated commercial names, author-designated names,
acronyms, etc.
c. "Molecular Formula" refers to the formula which lists the
kind and number of atoms in a molecule.
d. "CAS Unique Chemical Registry Record" refers to the
machine record that represents the chemical structure in
the CAS Chemical Registry System. The fundamental
component is the connection table which is a detailed
inventory of the atoms and bonds that comprise the two-
dimensional representation of the substance's structure.
Additional components of the structure record include
the description of such items as stereochemistry, abnormal
mass values and charges.
•\
8. PROCEDURES.
The Information and Management Services Division of OIRM
will provide any additional technical guidance for implementing
the requirements of this data standard.
<.•• ' . .
Morgan-"Kirighorrc
^Acting Assistant Administrator
for Administration and
Resources Management
A-25
-------
SEPA
Classification No.: 2180.2
Approval Date: 12/10/87
DATA STANDARDS FOR THE ELECTRONIC TRANSMISSION OF
LABORATORY MEASUREMENT RESULTS
1. PURPOSE. The purpose of this Order is to issue standards
for the electronic transmission of environmental measurement
results from laboratories to EPA programs. These standards
will provide a consistent definition of laboratory data and
will facilitate cross-media use of laboratory data.
2. SCOPE. This Order applies to laboratories that supply
measurement data for Agency, Regional or program office
decisions.
3 - BACKGROUND.
a.
b.
d.
e.
Integration of information and databases is difficult
because program offices use disparate formats and names
for similar data elements.
There is a need to make and support decisions based on
standard information and data collected which cut across
the Agency's programs.
Specific programs have an increasing need to share data
from other programs, other Agencies, States and local
governments. This adds credence to the need for accept-
able data standards
information.
to facilitate the exchange of
InforTftation technology has reached a point at which the
sharing of data among automated systems is technically
feasible.
The Agency has implemented standards for hardware and
software which facilitate the sharing of data among
programs.
Laboratory measurement results are commonly acquirei by
almost all the operating programs and Regions.
A-27
-------
EPA ORDE:^ _ . • 2130.2
12/10/87
a. The larae Quantity of data that is received from
laboratories mandates the use of automated systems of
transmission to decrease errors of transcription, to
increase the soeed of reoorting and to facilitate wide
use of the data.
h. A standard approach to the transmission of laboratory
data is required to ensure that all measurement data
reported to Agency orograms from laboratories will
include common elements that define the sample type,
the measurement technique and method, and the quality
of the measurement, in addition to the measurement
results.
i. These standards define data originally acauired for
one specific purpose to other potential users. Use of
these standards certifies the existence of qualifying
information to second and third party users of the data
4. AUTHORITIES.
a. 15 C?*> , Dart 6 Subtitle A, Standardization of Data
Elements and Reoresentat ions.
b. OM3 Circular A-130, Management of Federal Information
Resources.
POLICY. The Standards for Electronic Transmission of. Laborator
Measurement Results in Appendices A through C to this Order
will be used to move measurement results from laboratories to
orogram offices.
a. Programs will adhere to the standards except where it
can be demonstrated that the costs of using the standards
exceed the benefits or will impede the Agency in
accomolishing its mission.
b. The5.e standards provide a framework that can be adapted
to the needs of each program. Addition or deletion of
data elements is permissible within the standards.
c. Mo timetables are set for conversion of existing automate"
data transfer mechanisms. The Office of Information
Resources Management will ensure that new instances
of the automated collection of laboratorv measurement
results will consider these standards as oart of the
wor kolan.
A-28
-------
EPA ORDER
2130. 2
12/10/87
6. ASSISTANCE. Assistance in implementinq this Order can
be obtained from the Immediate Office, Office 01
Resources Manaaemenc (OIRM).
Information
PROVISION FOR _WAIVER. OIRM recognizes that due to variances
in mission needs, information requirements, and resource
allocations, not all information systems can easily conform to
the standards defined in this policy. In order to provide a
reasonable amount of flexibility, this provision for waiver
is included in the Order.
a. An application for waiver should provide information to
substantiate the problems encountered in adopting the
standard. Also, the apolication should include the
program's alternate plan of action for transmitting
laboratory results.
b. T^e application must be approved by the decision official
in the requesting office and the resoective Senior
Information Resources Management Official orior to
submission to the Director'of OIRM, who has responsibility
for final disoosition. The applying office will be
notified in writing of the disposition of the waiver
within 30 days.
C. Morgan Ki
Actinq Assis
nt
orn
Administrator
A-29
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12/10/87
CONTENTS OF APPENDICES
Page
Aopendix A. Format for Analytical Results Reports on Machine Readable Media
Introduction A-l
Media Format A-l
Record Formats A-2
Production Runs A-2
Record Sequence A-3
File/Record Integrity A-4
Dates and Times A-4
Necessary Information A-4
Field Sampling Data A-4
Multiple Volume Data A-5
Format of the Production Run Header Record (Type 10) A-6
Format of the Chromatography Records (Types 11 and 12) A-l
" "'Format of the Mass Spectrometer "Record (Type 13): • - .- •• •--• -^_gi ••-
Format of the I.C.A.P. Record (Type 14) A-10
Format of the Sample Header Record (Types 20 and 21) . A-ll
Format of the'Sample Condition Record (Type 22) " ' A-13
Format of the Associated Injection Record (Type 23) A-14
Format of the rield Samplina Data Record (Types 24 to 26) A-l 5
Format of-the Results Data Record -(Type 30) • • A-17
Format <_f the Instrumental Data Readout Record (Type 31) A-18
Format of the Auxilliary Data Record (Type 32) A-19
Format of the Name Record (Type 33) A-20
Format of the OC Limit Record (Type 34) A-21
Format of the Correction Data Record (Tyoe 35) A-22
Format of the Deleted Data Record (Type 40) A-23
Format of the Special Header Record (Type 50) A-24
Format of the Comment Record (Type 90) A-25
Appendix 3. Definitions of Various Codes
Structure of the Method Number . 3-1
Quality Control Codas in Type 20 Records 3-2
Quality Control Codes in Type 34 Records 3-3
Codes for Sample Medium (Matrix, Source) 3-9
List of Samole and Result Qualifiers 3-10
Appendix C. Example Method and Matrix Codes for Dioxin,
General Organic and Inorganic Methods C-l
Table 1. Method and Matrix codes for Dioxin and "eneral Or^anics C-2
Table 2. Method and Matrix Codes for Inorganics
Table 3. "xanole of the Sequence of Record Tvpes
A-3I
-------
12/10/87
Appendix A
Format for Analytical Results Reports on Machine Readable Media
Introduction
This constitutes an EPA standard for media and record formats to be used in
transmission of analytical results. The following points should be noted:
1. The standard describes transmission formats only. It is expected that pro-
cessing systems will convert the input records into forms more convenient for
storage and processing. " -
2. Spaces between fields permit these records to be prepared by programs written
for laboratory automation systems in versions of BASIC which require thir
feature, as well as to be compatible with Agency standard statistical ard
database management systems (e.g., SAS, S2K, ADABAS, etc.).
3. Record formats contain sequence numbers and checksums to be consistent with
reouirements for a future error-free telecommunications format.
Media-Format" - -•• • • • • •
The record formats are intended to be general for a variety of media, but some
special considerations apply" to certain media; ' • •
1. Magnetic Tapes snail be industry - standard 9-trac*, 300, 1600, or 5250 bits
per inch, with no internal laoels. Floppy diskettes snail be IBM-PC compati-
ble and may be of any standard size. Telecommunications requirements will
be defined as appropriate. Data compression or "squeezing" algorithms will
be employed where appropriate for future telecommunications protocols.
2. Records shall be fixed-length 80-byte records consisting of ASCII characters.
If the operating system producing the record requires an end-of-record code
(sucn as carriage return and/or line feed), this code shall occupy record
positions 79-80. Otherwise, positions 79-80 shall be blank.
3. Records on tape may be combined optionally into fixed-length blocks, with a
blocksize not exceeding 4000 bytes. If the block includes a prefix or post-
fix supplied by the operating system in addition to the records, information
about the presence and length of the prefix or postfix shall be included in
the external label.
4. Tapes or diskettes shall consist of one or more files. Each tape file shall
end with a tapemark; the last file on the tape shall end with two tapemarks.
Diskettes shall have all files present in the root or parent directory.
5. Each tape reel or diskette shall bear one or more external labels, collec-
tively supplyinc the following information: volume ID, number of files,
creation date, and name, address and phone number of submitter. Magnetic
tape labels snail also contain density, blocksize and recordsize. individual
Acency environmental monitoring programs may require additional external
lacels such as to provide linkage to other related data (e.g., field samplin:
data sheets or lab "chronicles").
A-33
-------
Appendix A
12/10/87
6. The following media shall be compliant with Federal Information Processing
Standards J.FIPST cited below:
FTPS Subject
3 ' 800 BPI, NRZI, 9-track tape
25 1600 EPI, PE, 9-track tape
50 6250 EPI, GCR, 9-track tape
Record Formats
There are six groups of record types in the standard, as shown below. Detailed
record formats follow.
Type Name Contents
10 Run Header Contains information pertinent to the whole production
run (group, batch, etc. of samples or sample equiva-
lents). See production run definition below.
20 Sample Header Contains sample-identifying information or-corres-
. . ponding information for calibrations, QC samples,
instrument performance checks, etc.
30
Results Record Contains any final result on a sample, calibration or
CC sample and identifying information.
40 Deleted Record . Signals a deleted record; record contents are unde-
fined except for the record type code.
50 Special Record Signals a header for other Agency Standard Cata Ease
Records (e.g., STORET, SAROAD, SFC, AIRS, etc.).
90 Comments Record Signals a record containing free-form comments.
Record types 10, 20 and 30 are mandatory, except when field sampling data only are
being reported, in which case type 30 may be missing; other types are optional.
Type 20, representing the sample, contains a Region and Sample ID which acts as an
identifying label for the sample. The QC code indicates whether the data are from
an environmental sample, calibration or QC sample; or other calculated run-wide
data such as mean response factors. Type 30, representing an individual analyte,
contains either a program or contract specified identifier or a CAS code and an
indicator ("I" or_ "C" or another code) as to which code was used. Type 50 is use.j
to include data from any other standard agency data base such as STORET or AIRS.
It is required only when records from these other systems are being mixed with
records from this standard. It should be noted that records which are optional in
the standard may be considered mandatory in a given application (e.g., Contract Lac
Program). See page C-5 for an example of the sequence of the record types.
Production Runs
Since, under this standard, a file contains the results for one production run, iz
is necessary to define a production run in terms applicable across a wide variety
of analysis tvpes. In general, a production run shoula represent a "group" or
"hatch" of sa^cles that are processed in a continuous sequence under relatively
stable conditions. 3oecific points characterizing a production run are:
A-34
-------
Appendix A
12/10/87
0 Calibration - initial and continuing checks. Typically all samcles in a run
use the same calibration data. (There will be a few exceptions,
such-as isotope dilution for GC/MS, where some of the calibra-
tion information is contained in each sample.)
0 Method number - (see Appendix B) will be constant.
0 Instrument conditions - are typically constant throughout a run. Results
obtained on different instruments cannot be combined
in one run.
The time span of a production run varies with the type of analysis. Many runs for
inorganic analyses take a fraction of a day. Some organic analyses, such as GC and
GC/MS, take a long time for each sample, so that the production run may contain
data from many work shifts which could span days or weeks.
The first record in each file must be a record type 10, the Run Header. Positions
4-24 form an identifier for the run. Ignoring the blanks, this would read
"8404011521GC/MS " for a GC/MS run started at 3:21 p.m. on April 1, 1984. If data
from a single production run are split and reported on several files (presumably at
...different times.)......it .is .mandatory:.that this .run identifier be identical on. each
such file.. The measurement type is general and will'be assigned by "EPA'.' In runs''
completed during one work shift by one individual, the initials designate the
responsible analyst. For runs which involve more than one instrument operator,
it may be necessary to use the." initials of a manager. In.any case, the initials
should indicate one individual responsible for the- quality and consistency of the
entire run.
Record Sequence (see page C-5)
1. A Run Header (type 10) record must be present as the first record in the
file. Further occurrences of the type 10 record in the file are not allowed.
2. Each environmental sample, calibration or quality control sample is
represented by a group composed of a type 20 and 21 record, which holds
sample level identifying information, followed by one type 30 record for
each method analyte or standard. The region/client and EPA sample ID together
should uniquely identify a single sample, but there is no separate requirement
that the sample ID be unique on a national level. The type 20 record holds
a count for the number of method analytes being determined. Type 20 records
should occur in the order in which analytical results were obtained. The
type 20 records for quality control items have further rules (see Appendix E,
for definitions of QC types):
a. LDl must occur before the corresponding LD2 record, but the two records
need not be adjacent. (Similar rule for FD1 and FD2)
b. LF1 must occur before the corresponding LF2 record, but the records neeJ
net be adjacent.
In addition, a type 20 record is used as a header for any additional run-wide
data that must be reported for each method analyte (such as detection li-nts
or mterelerr.ent correction factors). Unique identifiers given on page E-c
are used in clace of ""C codes" to indicate the types of data that follow.
A-35
-------
Appendix A
12/10/S7
3. Type 50 records are used to indicate the presence of data in formats of other
existing agency'Sata bases and may occupy any position. Each contains a
counter to indicate the number of records from the other system that follow.
4. Type 90 records may be'defined to occupy any position except before the-type
10 (header) record, or between records following a type 50.
File/Record Integrity
All record types (excepting those following type 50) shall contain the following
check fields to ensure file and record integrity:
Record Field Field
Position Length Contents
1-2 2 Record type or identifier
72-74 3 Record sequence number
'•• • '•- •-•••--•••"--'-• - within file •• - • -;:--; •• •
75-78 - • - 4 Record .checksum
79-80 2 Reserved for operating
svstem use
Remarks
"10" or as appropriate
000-999, repeated as
• necessairy. .•-.,.-.•-.. -.-.. -• .-.• .= ,........
Four hexadecimal digits;
calculation algorithm to
be supplied • •'
Will contain blanks, or
a code for CR and/or LF
Dates and Times
Wherever a date or time-of-day is required, the information consists of successive
groups of two decimal digits each, separated by blanks. Dates are given in the
order YY MM DD, and times as HH MM. All hours will be given as 0 to 23, right
justified, using a 24 hour clock and will be local time. Since some computers
generating the date and time sequence may have difficulty producing leading zeros,
these will not be required. The program reading the file will convert leading
blanks to leading zeros in all date and time fields.
Necessary Information
The exact list of reportable information will obviously vary considerably from one
program to another. The information given on the following records is designed t:
be as general as possible, and not all of it will apply to any program or method.
It is important tc note that this standard is in no way attempting to determine,
or even suggest, what data should or should not be reported for any given program;
it is only defining how that data should be reported. Any data element that is
not applicaele should simply be left blank; if no data on a record type are appli-
cable the entire record may be omitted. All of the definitions of the field
contents should be considered to be general; specific programs and methods ~ay
further define any field, or may require the use of some fields tc represent prc:":
or method specific information. Additional method dependent record types -.~a\ c_
defined in the future to accommodate information which, cannot be reported jsir..; ::•'••
d^^lpeO forTiat.
A-36
-------
Appendix A
12/10/87
Field Sampling Data
Field sampling data will also be reported using this standard. If the field
sampling data are sent in separately, then the file will be structured in the same
manner as an analytical analysis. There will .be a type 10 record at the start
• which will have "FIELD" in columns 19-23 along with whatever information is
appropriate. All type 20 records will have the appropriate field ~C codes along
with an appropriate sample qualifier, e.g., FLD". Much of the other information
will be blank. Type 30 records will be present only if necessary (such as to
report the amount of field spikes for each spiked analyte). If field sampling
data are reported by the laboratory performing the analysis, using the same file,
it will be necessary to have two type 20 records for each sample, one for the
analytical results and one for field sampling data.
Multiple Volume Data
There is no requirement under this standard that all the data from an entire
production run fit onto a single volume of the transmission medium. If data are
being split into multiple volumes, then each program will define how this is to be
..performed,, .Fpr example,, if_the.multiple volumes are reported at different times,
it may be necessary to repeat the transmission of all initial calibra'tion data •
with each volume. On the other hand, if multiple volumes are utilized simply
because all dita will not fit onto'a 360 K diskette/ then there would be no need
to repeat the initial calibration data on each volume. In all cases, the program
will define when and where data may be split and how the files are to be named so
that the sequence is unambiguous. What is necessary, is that all volumes start
•vitr. a cyce 10 record, and that all type 10 records have the same run identifier
as explained on page A-3. If it is necessary to split the data from a single
sample into multiple volumes, then the type 20 (and following) type records for •
that sample must be repeated; in thi" situation, it is mandatory that columns
4-37, which collectively identify the sample, be identical in each volume.
General Instructions
1. All character data are to be upper case, except in comment fields where nc
restrictions are given or when using the symbols for chemical elements (one
upper case letter or one upper case letter followed by a lower case letter).
2. Missing or unknown values are to be left blank.
3. All character fields are to be left justified.
4. All numeric fields are to be right justified. A decimal point is to be
used with a "non-integer if exponential notation is not used. Commas are not
allowed.
5. All temperature fields are in centigrade and are presumed non-negative unless
preceded by a minus sign (-).
A-3 7
-------
Appendix A
12/1C
Format of the Mandatory production Run Header Record (Type 10)
,7
Record
Position
1-2
4-5
6
7-3
9
10-11
v.j.2. ......... ..-:.
13-14
15
16-17
18
19-24 •
25
26-3C
"< "1
_/ i
32-34
35
36-41
42
43-44
45
4c-4~
45
Field
Length
2
1
2
1
2
1
2
.,,.,,j .,.,...,
2
1
2
1 •
6
1
5
I
3
1
6
1
2
1
2
i.
Field
Contents
Record type
blank
Positions 4 through 17
contain the date/time of the
start of instrumental analysis
Year
blank
Month
blank
Day
blank
Hour
blank
Minute
blank
.Measurement Type' cr
Agency Code
blc x*
Method Number
blank
Person responsible for run
blank
Lab ID
blank
Positions 43-51 contain the
date report prepared.
Year
Blank
Month
Blank
Remarks
"10"
Positions 4-24 constitute the
run ID. See instructions for
. record type 10, page A-3.
YY
m
DD
KH . - .
MM
General descriptor (e.c.,
ICAP, GC/MS, ASTM, USGcE ; ; cr
"FIELD" if field data only.
Standard number defined by
EPA or other Agency, (see
page B-l for examples).
3 initials of Manager.
From EPA standard list or
Project Officer.
YY
MM
A-38
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Appendix A
12/10/87
Format of the Mandatory Production Run Header Record (Type 10) cont.
Record Field Field
Position Length • Contents
49-5C 2 Day
51 1 Blank
52-61 10 Contract Number
62 1 blank
63-68 6 Instrument ID
69 1 blank
70 1 Security code
Remarks
DD
Agency standard number.
e.g., GC8312; provided by
contract lab; must be unique
and permanent within lab.
"S" = secure, "U" = unsecure
Other codes may be defined
to comply with additional
..contract; requirements....
A-39
-------
Appencix M
Format of the Chromatcgraphy Record (Type 11}
Use: To describe Chromatograph conditions. Applies to a group of samples in a
run. Will be present for any method involving chromatography.
Position: Follows type 10
Record
Position
1-2
3
4-11
12
13-16
17
'13-21
22-
23
24
25-26 '
27
23-30
31
32-33
34
35-37
38
39-42
43
44-45
46
Field
Lenath
2
1
8
1
4
1
• 4
•1
"1
1
2 .
1
3
1
2
1
3
1
4
1
2
i
j.
Field
Contents
Record type
blank
Commercial Column name
blank
Column Length in meters
blank
Column inside diameter in' mm.
blank
Type of Injector
blank
Carrier Gas
olanK
Carrier Gas flow rate
in mL/min or Cm/sec
blank
Units code
blank
Initial Column Temp, in
degrees C
blank
Initial Temp. Holding Time
in min.
blank
Number of Column
Temperature Programs
blank
Remarks
"11"
e.g. SP2330
e.g., 100 or 99.5 or 3.5
e.g., 2 or .3
'3'= split
L = splitless
0 = on column
Chemical Symccl
e.g. He, Ar, N, H
nnn
"ML" or "CM"
e.g., 50 or 300
XX. Y
Integer nunber
47-46
49
rirst (cr only) Column
Temperature Program in degrees
blaiix
A-40
-------
A p p e n a i x A
12/10/S7
Format of__the Chromatography Record (Type 11) (cont.)
Record Field Field
Position Length Contents Remarks
5C-52 3 First* Column Temp. e.g., 250 or 350
in decrees C.
53 1 blank"
54-57 4 First* Temp. Holding Time XX.Y
in min.
*N"ote: Vrtien Number of Column Temperature Programs is "1", positions 50-52 arid
54-57 will hold the final column temperature and holding time, and nc
type 12 record will follow.
Format of the-Chromatography Record.(Type 12) "
Use-: Continuation of .type 11. Used only if multiple ramp column temperature
programs" are employed.
?csi-:.cr.: Fellows the tvpe 11 tc which it applies.
Record Field -.Field
Position Length Contents Remarks
1-2 2 Record type "12"
3 1 blank
4-14 11 Second Column Temperature Program Use the same formac as
15 1 blank positions 47-57 of reccrc
type 11.
16-26 11 Third Column Temperature Program Use the same format as
27 1 blank positions 47-57 of reccr:
type 11.
23-38 11 Fourth Column Temperature Program Use the same format as
39 1 blank positions 47-57 of reccr:
type 11.
40-50 11 Fifth Column Temperature Program Use the same format as
51 1 clank positions 47-:
type 11.
52-62 11 Sixth Column Temperature Program Use the same
positions 47-57
type 11.
A-4]
-------
Appencix A
12/10/57
Format of the Mass Spectrometer Record (Type 13]
Use: To describe Mass Spectrometer conditions. Applies to a group of samples in
run. Will be present whenever mass spectrometry is used.
Position: Follows type 10
Record
Position
1-2
3
4-9
10
11 i ^
11—1-5
14 "•••'"••- '
15
16
21
22-25
26
27-29
30
31
32
33-38
39
40-41
42
Field
Length
2
1
6
1
1
1
4
1
4
1
3
1
1
1
6
1.
2
1
Field
Contents
Record type
blank
Instrument model
blank
Scan cycle time ,in sec. .^ ......
:blank":: "" """ ""'""• ''. ." ".'
Scan Type
blank
Initial Mass Value or
Number of Masses
blank
Final Mass Value
blank
Pos. or Neg. ions
olank
Type of Instrument
blank
Mass Spectrometer Resolution
or Peak Width *
blank
lonization Mode
blank
Remarks
"13"
First letter - manufacturer,
1-5 characters for model.
1-3 .
.... i-..J. ..-. .-. . •,•-.-. ••••=• :•••'-:••-••••
R - Continuous Scan Range
S - SIM - mass range given
U - Unknown scan type
N - SIM - # masses given
Integer mass value. Lowest
mass for "R", "S", or "U"
(above); or number of masses
monitored for "N".
Highest mass for "R", "S",
or "U"; or blank for "N".
"PCS" or "NEC"
M - magnetic, 0 - quadrupcle
Other types may be defined
Integer resolution value
FA, FD-, FI, El, TS, CI, Af
Reagent Gas
Chemical symbol or fcrrula
"defined as '-'/delta M fcr magnetics, Peak Math in amu for Quads)
A-42
-------
Appendix
12/10/67
Format of the AA/ICAP Instrument Record (Type 14)
Use: To describe AA/ICAP instrument conditions. Applies to a group of samples in
a run. _ Will be present whenever AA/ICAP is used.
Position: Follows type 10
Remarks
"14
First letter - manufacturer,
1-5 characters for model
e.g., 5000
Record
Position
1-2
3
4-9
10
11-15
16
17-21
22
23-28
29
30-32
33.
34-35
36
37-39
40
41-43
44
45-47
48
49-51
52
53-5S
59
60-64
65
Field
Length
2
1
6
1
5
1
' V
.6 .
1
1
2
1
3
1
3
1
3
1
3
1
6
1
c.
I
Field
Contents
Record type
blank
Instrument model
blank
Initial Wavelength in nm
blank
Final flavelfength in nm - -
blank
Gas utilized
blank
Flow rate magnitude
blank
Flow rate units
blank
Other gas added
blank
Flow race magnitude
blank
Digestion time
blank
Digestion temperature
blank
Acid used
blank
Cxidizer used
blanK
Chemical symbol or formula,
e.g., C2H2, NO
e.g., AIR
Assumes same units as in
Positions 34-35.
e.g., K2SC4 or HNC
e.g., H2C2
cc-TC
Other digestion options
Program rray assioa a coco,
A-43
-------
5 e r. c i x .-.
_-Format of the Mandatory Sample Header Data Record (Type 2C)
Record
Position
1-2
3
4-5
6
7-14
15
16
17
.18-2.0 - -
21
22-24
25 "• '
Field
Length
1
2
1
8
1
1
1
..,. ,3. ,.,,-:-- --
• 1
3
V
Field
Contents
Record type
blank
Region or other client
blank
EPA Sample I.D.
blank
Sample Medium/Matrix Code (Z)
blank
blank
Sample Qualifier
blank
Remarks
"20"
Alphanumeric
Raw Sample 1C only;
no suffixes
See page E-9. Examples are
found in Appendix C.
Codes, type of data to be
reported; see page B-2 •
Code to qualify the results
of the entire sample
analysis (see page 8-10).
26-25 3 Project r.u.T.ber e.g., Case = for Contract
24 1 clank Laboratory Program..
2 Batch/shipment nurccer Alphanumeric
1 blank
Positions 39 through 52 con- Field samples use date of
tain the date/time of instru- sample collection.
n.ent analysis.
39-40 2 Year YY
41 1 blank
42-43 2 Month MM
44 1 blank
45-46 2 Day DC
47 1 blank
48-49 2 Hour HK
50 1 blank
Minute MM
blank
/«cr.< shift of sarpie analysis "3",
graveyard, day, swin::.
A-44
-------
Appendix A
12/10/87
Format of tne Mandatory Sample Header Data Record (Type 20) cont.
Record
Position
56
57
53-65
66
Field
' Length
1
i
8
1
Field-
Contents
Sample Units
blank
Sample Size
blank
Code
67-69
Analyte count
Remarks
"L" -
"C" = cubic meters
"K" = kilograms (wet wt.)
See note.
Numeric; 1-3 decimal
digits.
:vcte: Sample Size is the volume in liters for liquids, the volume in cubic
meters for air and the wet weight in kilograms for solids. The Sample Units
W "indicates-which units-are-an use--£or- the current...sample,....... .,.,, ........... .
A-45
-------
Appendix
12/10/67
Format of the Sample Header Data Record (Type 21)
Use: Continuation of type 20.
Position: Follows the type 20 to which "it applies.
Remarks
Record
Position
1-2
3
4
5
6
7
3-10 . .
11
Field
Length
2
1
1
1.
1
1
3.
1
Field
Contents
Record type
blank
Method Variation Code
blank
Concentration level
blank
(N)
Clean-up or other sample
processing variation
blank
37-38
39
40-41
42
43-44
45
14-16
17
18-23
24
25-35
36
3
1
6
1
11
1
2
1
2
1
2
1
Extraction code
blank
Initials of operator
blank
General Administrative
Reporting Number
clank
Laboratory Data File Name*
blank
Positions 37 through 44 con-
tain the date/time that
sample preparation began.
Year
blank
Month
blank
Day
blank
21*
Codes any sample method
variations. See Appendix C.-
Indicates possible method
variations. (See Note 1)
"L" = low
"M" = medium
"H" = nigh' ' •-• "• "••"•- -•""-'
Codes to be
used will be defined by each
program.
As defined in contract.
Use whomever is respcnsicie
por the sample results.
Alphanumeric; e.g., S.A.S.
Number for CLP program
(if necessary).
File name in instrument data
system or other descriptor.
YY
MM
nr.
Note I: The Concentration level is an estimate of overall level for all anaiy-ea.
* The file name is the identifying code tor sample data in a laboratory data syste-..
In lacoratjries witncut data systems, the file name will be any code useo :cr =ar::_e
A-46
-------
Appendix A
12/10/37
fonaat of the Sample Header Data Record (Type 21) cont.
Recorc
Bit ion
Field
Field
Contents
Remarks
40
47
48-49
50
1
1
2
1
work shift for sample prep
blank
Positions 48-55 contain
date sample received at lab.
Year
blank
"G", "D" or "S" for:
graveyard, day, swing.
YY
51-52
"53"
54-55
.56
57-63
03-,
2
1
Month
Blank"'' "''"" ':'"' '"" "'"
Day
Blank
Source of Compound
(if not unknown sample)
clank
Volume cf Sair.ple Analyzed;
Units determined by
Contract
DD
Company or EPA from which
compound was obtained.
50 or 0.5; e ~., Ir.jecticn
Volume in uL for CLP.
A-47
-------
Appendix .A
12/10/37
Format of the Sample Conditions Record (Typ-e 22)
Use: Continuation" of type 20. Used to describe additional sample conditions.
Position: Follows the type 20 and 21 to which it applies.
Record
Position
1-2
3
4-5
6
7-8 ...
9
10-11
12
Field
Length
2
1
2
1
2
1
Field
Contents
Record type
blank
Remarks
"22"
Positions 4-17 contain the
date/time of associated cal-
ibration. See Note 1. (Date
of Source of the response factors
used)
Year
Dlank
-Month
Dlank
Day
blank
YY
MM
DD
Hours
16-17
18
19-29
31-34
35
36-37
38
39-40
41
Note 1:
N'ote 2:
•* The fi
system.
used for
2 Minute
1 blank
11 Calioration data File Name1
1 blank
4 Sample pH
1 olank
2 Percent moisture
1 blank
2' Decanted percent moisture
1 blank
MM
See Note 2. Data File Xame
of associated calibration o:
"AVERAGE" in positions 21-2:
(if mean used).
XX or XX. X
For organic, dioxin
For organic dioxin
For average, use the date and time average was calculated.
This field must match positions 25-35 of record type 21 for the
associated QC injection..
Le name is the identifying code for sample daca in a laboratory data
In laboratories without cats systems, the file name will ce any cede
sample data identification.
A-48
-------
Appendix A
12/10/87
Format ofL_the Sample Conditions Record (Type 22) cont.
Record •
position
42-46
43-54
55
56-59
60
61
62 ,
62-7C
Field
Lenath
1
4
1
1
1
Field-
Contents
Extract Volume in ml.
blank
Remarks
e.a. 1.0 or 0.050
Concentration/dilution factor e.g., 2000 or .001
blank
Method Detection Limit
Method
blank
Code for quantification
report type
blank
Sample Dry Weight or
percent solids
Established per project
by Project Officer.
Program w .11 specify when
desired.
If 'necessary, contract will
define-required value.
A-49
-------
Appendix A
Format of the Associated Injection and Counter Record (Type 23)
Use: Continuation of type 20. Used to identify associated QC injections and' to
provide for program specific counters. May net be required in all programs.
Position: Follows the type 20, 21, and 22 to which it applies.
Record
Position
1-2
3
4
5
Field
Length
2
1
I
1
Field
Contents
Record type
blank
Type of First CC Injection
blank
Positions 6 through 19
contain date/time, of .............. ...,
associated QC injection.
(Acquisition date and time
of CC injection to be linked
with this' sample. )•
Remarks
23
Identifies injection typ-e.
"P" - performance check,
"B" - blank, etc. Other
codes may be defined.
6- /
8
9-10
i-
12-13
14
15-16
17
13-19
20
21-31
32
33
34
i
±.
i
2
1
2
T_
2
1
2
1
11
1
1
1
Year
clank
Month
clank
Cay
blank
Hour
blank
Minute
blank
CC injection File N'ame*
blank
Type of Second QC Injection
blank
DD
HH
MM
See Note 1.
Identifies Second injection
type; same as position 4.
Note 1: This field must match positions 25-35 of record type 21 for the associate
QC injection.
* File name is the icentifyina cede for sample data in a laboratory data system.
In iacoratories without data systems, the file name will be any code used f:r
5amcle data identification.
A-50
-------
Appendix A
12/10/87
rcrr.at
~e Associated Injection and Counter Record (Type
Record
Position
FieicT
Length
Field
Contents
Remarks
Positions 35 through 49 contain
the date/time of associated
QC injection. Positions 33
to 60 have the same format as
positions 4 to 31 for the second
type of QC injection. If more
than two types of injections must
be linked with the sample then
use additional records.
35-36
37
38-39
40... .. .: ....,
41-42
43
44-45
46
*t . "~*-i C
49
2
1
2
, ., -1 ,.,.,„_,
2
1
2
1
2
1
Year
blank
Month
blank , ;
Day
blank
Hour
blank
Minute
' ' blank
YY
CD
HH
50-60
61
63
64-65
66
67
63
69-70
11
2
1
1
1
2
QC Injection File Name*
blank
Inscription Code of First
Counter
blank
First Counter
blank
Description Code of Second
Counter
blank
Second Counter
Program may define any
necessary sample-wide coun-
ters to be reported here.
nn
Two counters may be entered
on each record.
* The file r.ame is the identifying code for sample data in a laboratory data
system. In laboratories without data systems, the file name will be any code
jsec for sample data identification.
A-5I
-------
Appendix A
12 ' 10 . •' r 7
Format of the Field Sampling Auxilliary Data Record (Type 24}
Use: Continuation of type 20. Used for Field Sampling Data to describe additional
samc-le conditions. •
Position: Follows the type 20 and 21 to which it applies.
Remarks
Record
Position
1-2
3
4-39
40
41-55
56
57
53 •
59-61
62
Field
Lenctn
Field
Contents
2 Record type
1 blank
36 Project Name
1 blank
15 Sample Station Number
1 __ blank . .. ... _ _ t . ... ......
1 Type of Sample
1 blank ' ..
3 Preservative Added
1 blank
•^ 31 ~ i on s 6" thro Lien 70
' contain the date the sample
was snipped tc the
63-64
65
66-67
68
2
I
2
1
Year
blank
Month
clank
•24'
From Standard List.
G grab; T time composite;
S space composite
From standard list - blank
if none.
69-70
Day
A-52
-------
rt p p
-------
Appendix A
12/10/57
Format of -Lhe Field Sampling Auxilliary Data Record (Type 26)
Use: Continuation of type 24. Used for Field Sampling Data to record any
numerical values which indicates where or how the sample was collected. .The
exact format -is defined by each program.
Position:
Record
Position
1-2
3
4-6
7
3-11
Fellows the type 24 to which it applies. (Record will only be requirec
for some croaraTis.)
Field
Length
2
1
3
1
4
1
Field
Contents
Record type
blank
Description of First Value
blank
Magnitude' of First Value
clank or 'E1
Remarks
"26'
Program specified descrip-
tor ', e.g., "FLW" - flow
rate; "IMP" - temperature;
"LAT", -..-latitude; -"LCfti" ,-, ... ..... ...
longitude; "ALT" - altitude.
Fixed or Scientific notation
(.XXXXEYYY). Program will
define appropriate measurement
ana applicable units.
3
1
-xponenc
blank
Description of Second Value
olank
21-24
25
26-28
29
30-32
33
34-37
38
49-41
42
4
1
3
1
3
1
4
1
3
1
Magnitude of
clank or 'E1
Exponent
blank
Description
blank
Magnitude of
blank or 'E1
Exponent
olank
Second Value
of Third Value
Third Value
Blank field will
as "+OOC".
Each value has the same
format as positions 4-15. Up
to five values may be given on.
each record. Additional
records may be added if necessa
A-54
-------
12/10/S7
Format of the Field Sarr.pl ing Auxiiliary Data Record (Type 26} ccr.t.
Record Field Field
Position Length Contents Remarks
43-45 3 Description of Fourth Value
46 1 blank
47-50 4 Magnitude of Fourth Value
51 1 clank or '£'
52-54 3 Exponent
55 1 blank
56-58 3 Description of Fifth Value
59 1 blank
6C-63 4 Magnitude of Fifth Value
64'" " " ' '"'' '"'"'• 1 '"•-•"• •• Blank-o^.-.i-E'. ..<-• ...•:.,-.. ...-,
65-67 3 Exponent
A-55
-------
Record
Position
1-2
Apoendix A
12/10/c7
rormat oi the Results Data Record (Type 30]
Field Field
Length Contents
2
1
Record type
blank
Remarks
4
5
Type ot Identifier Used
blank
6-14
15
16-24
25
26-30
31
9
1
9
1
5
1
Identifier Code or CAS
blank
Identifier Code or CAS..•l.-Qf.,
internal standard utilized..
blank
units of measure
olank
!.c P.—numeric result
clank
"I" = General Identifier
{e.g. chemical symbol,
program code). "C" = CAS
Registry Number. Other
codes may be defined.
Identifier codes may only be
used when no acceptable
CAS I exists. (Use right
justification in either case.
For,, internal^ standard, 'if '
.measurement uses internal
standards; otherwise leave
blank.
Established per project by
Project Officer.
See page B-1C; also called
a result Qualifier.
36-41
42
43-45
46
47
48
6
1
49-54
55
56-58
£ Q
61
<: — CD
1
1
6
1
Numeric analytical result
blank or '£'
Exponent
blank
Calculated Value Descriptor
blank
Fixed point or scientific
notation.
Related Calculated Value
blank or '£'
Exponent
blank
QC cr Limit Value Descriptor
ciar.K
Related CC or Limit Value
Exocnent
Describes following value:
"S" - surrogate; "F" -
spiked analyte; "N" - $
of points in mean. Other
codes may be defined.
Value represents amount
added or other calculated
or theoretical value.
Format same as 36-46.
Describes following value:
"D" - met nod detection lir-
"S" - surrogate % recovery
Value is method -detection
lime; surrogate * recover
or ct.'ier type defined cy
the appropriate program.
A-56
-------
Appendix A
12/10/87
Format or the Instrumental Data Readout Record (Type 31)
"Jse: To describe a'specific instrument readout value (raw data), for a specific
sample where both the instrument setting and the associated value must be
reported; exact nature of the value will be program dependent.
Position: Follows type 30. (Record will only be required for some programs.
Remarks
Record
Position
1-2
3
4
5
D
.7
Field
Length
Field
Contents
2
1
1
1
19-28
23
30-37
38
39-48
49
50-57
58
10
1
8
1
10
1
8
1
Record type
blank
Type of Data
blank
"31'
Code for description of property
being measured or Instrument
Setting; e.g., M - mass
(GC/MS). or A - wavelength
in nm.
10
•Type of Value Recorded
blank
Method cf Data Entry
First Instrument Setting
blank
First Instrument Value
blank
Second Instrument Setting
blank
Second Instrument Value
olank
Third Instrument Setting
blank
Third Instrument Value
Code for Value Recorded;
e.g., A - area, B - ahsorbance,
H - height, P - percent
abundance, I - intensity.
C - computer, M - manual
(could be a sequence =;.
e.g., 32C or 320.C736 fcr
mass, or 4973.61 for wave-
length.
Up to 10 decimal digits.
Up to three readouts may be
given on each record provided
that positions 4, 6 and 3 are
the same for all.
A-57
-------
Appendix A
12/10/87
Format of the Auxilliary Data Record (Type 32)
Use: To describe qualifying data for calibration or analytes in samples. Indi-
cates where in the analysis data are located or how data were found or measure--.
CLP program will report analyte scan number and retention time (in minutes)..
Other projects may use this record for any numerical sample qualifying data.
Position: Follows type 30. (Record will only be required for some programs.)
Remarks
"32"
0 to 99%; e.g., used for
tentatively identified
compounds in GC/MS
Record
Position
1-2
3
4-5
6
• 7 -. .,-...
f- . . - • .".'-•.: •
8
Field
Length
2
1
2
1
1 -- -
Field
Contents
Record type
blank
Match Score
of any sort
blank
blank
9-10
12-17
Id
19-21
23-24
25
26-31
32
o
1
3
2
1
6
1
Specifier-
Description Code of
First Value
blank
Magnitude of First Value
blank or 'E1
Exponent
Description Code of
Second Value
blank
Magnitude of Second Value
dlank or '£'
: How score "'was -obtained; "one
•alphabetic char; program
will specify code when it
is appropriate.
Program specified descrip-
tor, e.g., "RT" for GC/MS
retention time; "IT" for
integration time; "CM" for
quantitation mass.
Fixed or Scientific notation
as in Record Type 30. Pro-
gram will define appropriate
measurement and applicable
units.
Each value has the same format
as positions 9-21. Up to four
values may be given on each
record. Additional records
may be added if necessary.
33-35
36
3
1
Exponent
clank
A-58
-------
Appendix A
12/10/87
Format of the Auxiliary Data Record (Type 32) cont.
Record Field ~ Field
Position Length Contents Remarks
J7-3S 2 Description Code of Third
Value
39 1 blank
40-45 6 Magnitude of Third Value
46 1 blank or '£'
47-49 3 . Exponent
50 1 blank
51-52 2 Description Code of Fourth
Value
53 1 blank
..54^59.-.:- • -- •'••6- ••••••••••• Magnitude of "Fourth Value
61 • 1 ' -• blank or 'E1
61-63 3 Exponent
A-59
-------
Appendix A
12/10/37
— Format of the Name Record (Type 33)
Use: To carry an analyte name and any other necessary identifying information
Different programs may .define farther information to be reported.
Position: Follows type 30. (Record will only be required for some programs.)
Record Field Field
Position Length Contents Remarks
1-2 2 Record type "33"
3 1 blank
4-70 67 Name of compound Different programs may
define this field further.
A-60
-------
Appendix .-.
12/10/87
For-at of the X Limit Record (Type 34)
Use : To
or
Position:
Record
Position
1-2
3
4-7
8
9-11
12
•13.-. .. -.--..,.
14
-15-22 '
23
*"* * ^m *"" Q
30
31-33
34
35-40
41
42-44
45
46-51
52
53-55
56
57-59
60
report- QC _LLmit 'values that were in effect for the indicated measurement,
for the entire
Follows type
Field
Lencth
2
1
4 -
1
3
1
. -....=.1- ........
1.
8 • •
T
1
6
. 1
3
1
6
1
3
1
6
1
3
1
3
1
production run, depending
30. (Record will only be
Field
Contents
Record Type
blank
Type of data present
blank
Type of Value (s) present
blank
. Method, .for. ..calculating
limit
blank
Instrument Setting
blank
First 1C cr Limit Value
blank or 'E1
Exponent
blank
Second QC or Limit Value
blank or '£'
Exponent
blank
Standard Deviation
blank or '£'
Exponent
blank
Number of points used
for mean
blank
on program requirements.
required for some programs.)
Remarks
"34"
QC chart type, or any other
descriptor. See page B-8.
Limit Type (WIN, MAX, A, B,
LWL, LCL, AVE, UCL, UWL) , or
other descriptor. See page E-
H = manual, C = computer
Cthef codes may Be defined.
Cnly if appropriate; (e.g.
wavelength value).
May be a mean. Use fixed cr
scientific notation.
Hay not be necessary. Use
format of positions 24-29.
Integer.
A-61
-------
Appendix A
12/10/37
Foonat of the QC Limit Record (Type 34) cent.
Record Field . Field
Position Length Contents Remarks
Positions 61 through 68
contain the date the CC limits
were computed.
61-62 2 Year YY
63 1 blank
64-65 2 Month m
66 1 blank
67-68 2 Cay DD
A-62
-------
Appendix A
12/10/87
rrnac oc tne
;rrecticn Dae a Record (Type 35)
Use: Tc record afty correction data required. Different programs may define
further information to be reported.
Position: Follows type 30. (Record ir,ay be required only for some programs.;
Re core
Position
1-2
3
r leic
Length
2
1
r iexc
Contents
Record Type
blank
Remarks
"35"
4-6
7
S-12
13
Type of Correction
blank
Type of Value or Units
blank
Positions 14 through 22
contain- the 'date- the factor-
was determined.
"ICP" for ICP interelement
correction factors.
If necessary - describes
factor or aives units.
14-15
16
2
1
Year
blank
YY
'•'cntr.
22
clank
22-31
CAS 4 of interfering element
clank
33-4C
41
42-47
48
Instrument setting in nrrt
blank
Correction factor
blank or 'E'
Wavelength for ICP
Use fixed or scientific notation.
49-51
Exponent
Contents of rest c: reccra ~a\- ce Defined further by ether programs.
A-63
-------
Appendix A
12/10/57
'• Fonnat of the Deleted Data Record (Type 40)
Use: To delete any record.
Position: May occur anywhere.
Record Field Field
Position Length Contents Remarks
1-2 2 Record Type "40"
3 1 blank
4-70 67 Contents undefined
Note: Any record type may be logically deleted by changing Record Type field to
"40". Remaining contents of record are unchanged'and should be ignored by
all crocessincj software. • . •. . .. . . • • • •
A-64
-------
Appendix
12/10/87
.Formal" of the Special Data Record (Type 50}
Use: io indicate the presence of any data records from other Agency Data Base
Systems (e.g., STORET, AIRS, etc). This record-may be used to report data in
any other format without having to convert the data.
Position: May occur anywhere.
Record Field Field
Position Length Contents
1-2 2 Record Type
3 1 blank
4-12 9 EPA (or other agency)
Project Type
13 1 blank
14-18 5.... Counter
19 1 blank
2G-7C 51 Comments
Remarks
"50"
e.g., STORET, SAROAD, AIRS,
SFC
Indicates the number 6'f '""
records from the indicated
system that will foJlow.
Any free-form comments may
appear here.
This record is necessary only if records from another system are being mixed with
records frcrr. this standard. The record may appear multiple times if data from more
than one additional system are present, or if all such data are not contiguous. Th
counter will give the number of records in the alternate format that follow. These
alternative records have no defined format within this standard, and therefore no
check for any contents will be made. Record types, sequence numbers, and checksums
will not be present in the expected fields, and the sequence nunber counter will
simply ignore these records. Processing programs are expected simply to pass these
records as received to the appropriate system.
A-65
-------
M D p e n a i .x
12/10/67
Format of the Comment Record (Type 90)
Use: To provide any other necessary comments. Different programs may define this
farther and may require its presence in various places."
Position: May occur anywhere (see above).
Record Field Field
Position Length Contents Remarks
1-2 2 Record Type "90"
3 1 blank
4-70 67 Any Comment Any program may use this
record for any purpose and
may further define field
contents.
A-66
-------
Appendix B
12/10/87
Appendix 3
Definitions of Various Codes
STRUCTURE OF. THE METHOD NUMBER
The Method Number
The method numoer is a five character alphanumeric code. The purpose of the method
number is to define concisely the target analytes and the details of the method of
analysis. The method number has the form:
XXXXY
Where:
XXXX defines one or more target analytes plus the analytical method. This part
of the code is identical with the method numbers defined in EPA methods
manuals, the code of Federal Regulations and the private standard setting
organizations, e.g., .ASTM.. ... .. .. .. .,,.... ........ .-,,.:.. ... ....... .-:-....-..... -.•-
Y is an alphanumeric modifier which specifies that an allowed option in the.
method has been implemented or specifies fractions of analytes in the
method. The defined- values of .Y are dependent on the value of.XXXX, that
is, a Y = 5 in the 200 series methods may have a different meaning than Y'
= 5 in the 300 series methods. As an example, Y may distinguish total and
dissolved pnospnorus measured by che same method but with or without the
optional method filtration. Another example is the use of Y to distin-
guish the acid and base/neutral fractions in method 625. If Y is not
defined in a method, the default value is one.
The method number is validated as alphanumeric for XXXX and Y. It is stored right
justified in the 5 digit method number field. Appendix C gives examples for
organic and inorganic analyses.
A-67
-------
Appendix B
12/10/37
Note:
LDl
LD2
LD3
-to
LD9
.- Quality Control and Related Codes (QCC) in Type 20 Records
These QCC appear in the QC code fields of type 20 records. They are used
to indicate the type of data that are being reported. See page A-12.
Name
LABORATORY DUPLICATE
FIRST MEMBER
LABORATORY DUPLICATE
SECOND MEMBER
LABORATORY REPLICATE
Nth" MEMBER =~'' ''-- ""
Definition
The first of two aliquots of the same environmental
sample. Each aliquot is treated identically
throughout a laboratory analytical procedure; and
each is carried through the entire laboratory
analytical method as applied to all other samples
analyzed with the same method.
The second of the two aliquots described under LDl.
The 3rd through, the. .,9th...additional aliquots which'
"logically follow LDl and LD2. If more than two
aliquots are used, all names are changed from
duplicates to replicates. Codes do not chanae.
LR3 LABORATORY (REAGENT)
3LANK
LD3 LABORATORY (DRY)
BLANK
LSB LABORATORY (SOLVENT)
BLANK
LCB LABORATORY CALIBRATION
BLANK
An aliquot of reagent water or equivalent neutral
reference material treated as an environmental
sample in all aspects in the laboratory including
addition of all reagents, internal standards,
surrogates, glassware, apparatus, equipment, sol-
vents, and analyses.
Exactly the same as the LR3 except the aliquot of
reagent water or equivalent neutral reference
material is omitted.
Exactly the same as the LDB except any internal
standards or surrogates are omitted.
An aliquot of reagent water, possibly adjusted in
pH, but without addition of other reagents.
LO5 LABORATORY CONTROL
SOLUTION
LVM LABORATORY CALIBRATION
VERIFICATION SOLUTION
An aliquot of reagent water or equivalent neutral
reference material to which a known quantity(s) o
method analyte(s) was added in the laboratory. T'r.
LCM is treated as an environmental sample in all
aspects in the laboratory including addition of al
reagents, internal standards, surrogates, Glass-
ware, equipment, solvents, and analyses.
Exactly like LCM; used for calibration verifica-
tion.
A-68
-------
Append!x
12/10/87
QCC
Name
LIM LABORATORY INTERFERENCE
CHECK SOLUTION
LFM LABORATORY FORTIFIED
3LANK
Definition
Exactly like LCM; used to verify inter-element and
.background correction factors.
An aliquot of sample matrix, known to be below de-
tection limits for an analyte(s), to which a known
quantity(s) of method analyte(s) was added. The
LFM is treated as an environmental sample in all
aspects in the laboratory including addition of all
reagents, internal standards, surrogates, glass-
ware, equipment, solvents, and analyses.
.SO LABORATORY SPIKED
SAMPLE BACKGROUND
' • ••• (ORIGINAL! -VALUES „
LSF rABORATORY SPIKED
SAMPLE - FINAL VALUES-
An environmental sample which is analyzed according
to the analytical method, and a single independent
aliquot,of the ..same sample is taken for fortifica-
tion (spiking) .with the method' analyte(S).'" •" •"•'• •'-""-•
An environmental sample in which the analyte(s) was
measured in an independent sample .aliquot before
spiking (LSO), a known concentration increment was
made, and the measurement(s) of the final concen-
tration(s) were made according to the analytical
method (LSF).
LDO LABORATORY DILUTED
SAMPLE BACKGROUND
(ORIGINAL) VALUES
LDF LABORATORY DILUTED
SAMPLE - FINAL VALUES
An environmental sample which is analyzed according
to the analytical method, and a single independent
aliquot of the same sample is taken and diluted
according to the analytical method.
An environmental sample in which the analyte(s) were
measured in an independent sample aliquot before
dilution (LDO), a known dilution was made, and the
measurement(s) of the final concentration s) were
made according to the analytical method (LDF).
LSD LABORATORY SPIKE
DUPLICATE
LABORATORY SPIKED
SAMPLE - FINAL -
FIRST MEMBER
LABORATORY SPIKED
SAMPLE - FINAL -
SECOND MEMBER
An environmental sample exactly like the LSO except
that two independent aliquots of the same sample
are taken for fortification (spiking) with the
method analyce(s).
An enviroamental sample exactly like the LSF excecc
that duplicate aliquots were spiked, and the
measurement(s) of the final concentration was made
according to the analytical method (LFl).
The second member of the LF1/LF2 duplicate pair.
A-69
-------
Appendix 5
12/10/87
QCC Name / --
LPS LABORATORY CONFIRMATORY
SCAN
Definition
The measurement of the spectrum or partial spectrum
of an analyte(s) in an environmental sample or •
extract to obtain additional qualitative evidence
when the analyte(s) identification and measurement
were obtained from other techniques.
LPC LABORATORY PERFORMANCE
CHECK SOLUTION
A solution of method analyte(s}/ surrogate(s)
and/or internal standard(s) used to evaluate the
performance of an instrument with respect to a
defined set of criteria.
LDX LABORATORY DOUBLE
• ' • '-• 'PURPOSE PRECISION" AND'
ACCURACY SAMPLE
An environmental sample which is used for both the
LSD-(background level'ljefore spike)'and LDi (first
member of a duplicate).
CAL CONCENTRATION CALI-
BRATION SOLUTION
(Tvoe Unsoecified)
INITIAL CALIBRATION
MULTI POINT
CLS INITIAL CALIBRATION
SINGLE POINT
CLC CONTINUING CHECK
CALIBRATION
CLD DUAL PURPOSE
CALIBRATION
IDL INSTRUMENT DETECTION
LIMIT SOLUTION
A solution of method analyte(s) used to calibrate
the instrument response in terms of concentration
of analyte(s). Response factors rather than con-
centrations will be reported on the following rype
30 records.
A calibration solution as above used to determine
the initial calibration of an entire production run
where a group of calibrations are required at
different levels of method analyte concentrations.
Exactly the same as CLM except only a single level
of method analyte concentrations are utilized.
A calibration solution as above used to verify
whether the initial calibration data are still cur-
rently valid. Will be run several times throughout
the duration of the production run.
A calibration solution as above used both as an
initial calibration (CLM or CLS) and a continuing
check (CLC).
A calibration solution (not necessarily the same
solution as above), where the data are to be used to
calculate instrument detection limits only.
Unknown sample, not associated with any qu=
control iterr.
A-70
-------
Appendix
12/10/87
The following QCC will only apply to field data.
QCC
FD1
Name
FIELD DUPLICATE
FIRST MEMBER
FD2
FIELD DUPLICATE
SECOND MEMBER
Definition
The first of two environmental samples taken at the
same time and place under identical circumstances.
Each sample is treated identically throughout field
and laboratory analytical procedures; and each is
carried through the entire laboratory analytical
method as applied to all other samples analyzed
with the same method.
The second of the two samples described under FD1.
FRB. FIELD.3LANK
An aliquot of reagent wateY'or'equivalent neutral
reference material treated as an environmental
sample in all aspects in both the field and the
laboratory including .addition of .all preservatives,
reagents, internal standards, surrogates, glass-
ware, apparatus, equipment, solvents and analyses.
FIELD CONTROL SOLUTION
An aliquot of reagent water or equivalent
reference material to which a known quantity(s) of
method analyte(s) was added in the field. The FCM
is treated as an environmental sample in all as-
pects in both the field and the laboratory, includ-
ing addition of all preservatives, reagents, inter-
nal standards, surrogates, glassware, equipment,
solvents and analyses.
FRM FIELD REFERENCE
SOLUTION
?FM FIELD FORTIFIED BLANK
An aliquot of a sample (submitted by the requestor!
having a certified value. These samples are usual-
ly obtained from the NBS, EMSL, etc. The concen-
tration measured by the same analytical procedure
used for other samples is the "found" value.
An aliquot of sample matrix, known to be below
detection limits for an analyte(s), to which a
known quantity(s) of method analyte(s) was added i:
the field. The FFM is treated as an environmental
sample in all aspects in the field and in tne
laooratory, inciudina addition of all preserva-
tives, reaaents, internal standards, surrogates,
•glassware, equipment, solvents and analyses.
A-71
-------
Appendix 3
12/10/37
QCC Name
FSO FIELD SPIKED SAMPLE
BACKGROUND (ORIGINAL)
VALUES
FSF FIELD SPIKED SAMPLE -
FINAL VALUES
Definition
Ah environmental sample which was split in the
field. The portion represented by FSO is analyzed
according to the analytical method without fortifi-
cation (spiking).
The second portion of the environmental sample
which was split in the field, and to which a spike
was added in the field with a known concentration
increment. The measurements) of the final concen-
tration(s) was made according to the analytical
method (FSF).
The ..following .QCC values.do not refer to actual samples or calibrations for which
laboratory results are obtained. Instead they are used on type 20 records which
act as a header and indicate that additional (usually calculated) analyte specific
data- will be present on type 30 (and following type) records. Usually these data
will apply to an entire production run, in which case they will appear immediately
following the type 10 record. If the data apply to only a portion of the samples
in tne run, they should be placed immediately preceding the samples to which they
applies. Much of the rest of the information in tne type 20 record may be blar.K,
indicating that this data does not apply to these results. Many of these codes =r-£
method specific, and more codes will be added as additional methods require addi-
tional data.
MNC MEAN VALUES FROM
CALIBRATIONS
SID SAMPLE INDEPENDENT
(i.e. INSTRUMENT)
DETECTION LIMITS
ICF INTER-ELEMENT
CORRECTIONTACTORS
SDR SPIKE/DUPLICATE
CALCULATED RESULTS
The data following represent mean values and
percent RSD's from several calibration solutions.
Data will be present for each method analyte for
which a mean has been determined.
The data following represent sample independent
detection limits for each method analyte calculate:
according to the method being utilized.
The data following represent 1C? interelement
correction factor measurements for each method
analyte.
The data following represent calculated QC results
for any QC samples involving multiple injections.
Data will consist of percent recoveries and the
percent RSD values for each appropriate method
analyte that was analyzed according to the analy-
tical method.
A-72
-------
Appencix B
12/10/87
Laboratory Quality Control Codes Which Do Not Involve Real Samples
Clean • Clean "Clean
jC Internal Matrix Matrix Matrix
Code Name
LRB Lab Reagent
Blank
LRB Lab Reagent
Blank
LDB Lab Dry Blank
LS3 Lab Solvent
Blank
I/O
0
I
0
0
-.--I- -:
g
Stds
yes
no
yes
no
-
yes
Surroaates
yes
no
yes
no
...... ,*,,..,.,
yes
Present
yes
yes
no
no
. ,:. yes •. •
yes
Analyzed
yes
yes
N/A
N/A
-•..,. ...yes... . ,
no
Sciked
no
no
N/A
N/A
.,-. no.. .
yes
•LC3'-'- :Lab caiibra-'--
tion Blank
LFM. ' Lab Fortified
'Blank-Measured
"_CM Lab Control I no no yes no yes
Solution
Measured
1JOTE 1: All except LCB prepared in the laboratory and treated exactly like a
sample for the value being measured, including all preanalysis treatments.
N'OTF. 2: Entries in I/O column: I = inorganic, 0 = organic
NOTE 3: LVM and LIM differ from LCM in their QC role in the run.
A-73
-------
Appendix B
12/10/87
Quality Control Codes in Type 34 Records
Note: Type 34 records are used to record the limit values which were in force
during the run. Other programs may define other codes. All codes should
be left justified.
Record Field
QC Chart Type
Limit Type
Code
LSPK
LSSP
LR3L
LDUP
Meaninq
Statistical data from Laboratory Spikes
Statistical data from Laboratory Surrogate Spikes
Statistical data from Laboratory Reagent Blanks
Statistical data from Laboratory Duplicates
LCST Statistical data from Laboratory Control Standards
"A
B
MAX
LCL
LWL
AVE
OWL
UCL
Critical Range (t^) Slope
. Critical Range (Rc) Intercept
.Note: Upper limit for duplicates is expressed by the
critical range linear equation: Rc = AX + 3
Minimum concentration for which duplicates limit is
applicable
Maximum concentration for which duplicates limit is
applicable
Lower control limit
Lower warning limit
Mean
Upper warning limit
Upper control limit
Note: LCL, LWL, AVE, UWL and UCL apply to all QC
chart types except LDUP.
A-74
-------
Codes For Sample Medium (Matrix, Source)
Appendix
12/10/87
Medium
All Media, Don't Know or Don't Care
Water, Type Unknown or Not Specified
Drinking Water
Ambient Surface Fresh Water
Raw Wastewater
Primary Effluent Wastewater
Effluent Wastewater (Secondary - Tertiary)
Industrial Wastewater
Salt, Ocean or Brackish water
Ground Water
Leachate
Air, Type Unknown or Not Specified
-Ambient Air
Source or Effluent Air
Industrial Workroom Air
Solids, Type Unknown or Not Specified
'Bottom Sediment or Deposit
Soil
Sludge
Hazardous Wastes, Dumps
Fish, Shellfish Tissue
Plants, Algae Tissue
Commercial Product Formulation
Gasoline
Waste Oils
Field Sampling Equipment Solvent Washings
Atmospheric Deposition (Direct only)
Code
. 0
1
2
3
4
5
6
7
8
9
A
C
D
E
H
I
J
M
N
P
Q
R
A-75
-------
Aopencix B
12/10/37
LIST OF SAMPLE and RESULT QUALIFIERS
Definition: A Sample qualifier or a result qualifier (also called a non-numeric
result) consists of 3 alphanumeric characters which act as an indica-
tor of the fact and the reason that the subject analysis (a) did not
produce a numerical result, (b) produced a numeric result but it is
qualified in some respect relating to the type or validity of the
result or (c) produced a numeric result out for administrative reasons
is not to be reported outside the laboratory. Qualifiers related to
STORET remarks are indicated in the list below. This list is not
intended to be complete, and it is assumed that individual projects
will add additional qualifiers to cover project specific circumstances.
Qualifier
Full Name
BDL
3ELOW DETECTABLE LIMITS
FPS
FAILED PRELIMINARY
SCREENING
NSC.
NOT SUFFICIENT QUANTITY
LAC
LABORATORY ACCIDENT
FAC
FIELD ACCIDENT
ISP
PNQ
CM?
IMPROPER-SAMPLE
PRESERVATION
PRESENT BUT NOT
QUANTIFIED
USED AS PART OF A
Definition
There was not a sufficient concentration of the
parameter in the sample to exceed the lower
detection limit in force at the time the analy-
sis was performed. (No result; STORET "W"
remark) Numeric results field, if present, is
' at tJest, an' approximate value. " • ' "" '
A preliminary screening of the sample for the
subject parameter was conducted. The result.of
the screening indicated that it would not be
useful to determine the concentration of the
parameter. (No result; no STORET remark)
There was not a sufficient quantity of tne
sample to conduct an analysis to detenuae the
concentration of the subject parameter. (No
result; no STORET remark)
There was an accident in the laboratory that
either destroyed the sample or rendered it not
suitable for analysis. (No result; STORET "0"
remark)
There was an accident in the field that either
destroyed the sample or rendered it hot suit-
able for analysis. (No results; no STORET
remark)
Due to improper preservation of the sample, it
was rendered not suitable for .analysis. (No
results; no STORET remark code)
The subject parameter was present in the sample
but no quantifiable result could be determined.
(No result; STORET "M" remark)
The sample was not analyzed for the subject
parameter, instead it was used as part of a
composite sample. (No result; STORET "E"
remark)
A-76
-------
Appendix B
12/10/87
Qualifier
Full Name-
NAI NOT ANALYZED DUE TO
INTERFERENCE
NAR NO ANALYSIS RESULT
PRE PRESUMPTIVE PRESENCE
UND ANALYZED BUT UNDETECTED
FQC FAILED QUALITY CONTROL
RNA RELEASE/REPORT NOT
AUTHORIZED
AVG AVERAGE VALUE
CNT NON-ACCEPTABLE COLONY
COUNTS
CAL CALCULATED RESULT
FLD FIELD MEASUREMENT
FEM FEMALE SEX
KIT FIELD KIT DETERMINATION
EST ESTIMATED VALUE
CAN CANCELLED
MAL MALE SEX
Definition
Because of uncontrollable interference the
analysis for the subject parameter was not
conducted. (No result; no STORET remark)
There is no analysis result required for this
subject parameter. (No result; no STORET
remark)
Presumptive evidence of presence of material;
tentative identification (No result; STORET "N"
remark)
Indicates material was analyzed for but not
detected. (No result; STORET "U" remark)
The analysis result is not reliable because
quality control criteria were exceeded when the
analysis was conducted.' Numeric fieldj if pre-
sent, is estimated value. (Result; no STORET
remark, non-reportable; or report with STORET
11J" remark)
The analysis result is not authorized (by lab-
oratory management) for either forwarding to a
National Database or presentation in Engineer-
ing tabulations (No STORET remark)
Average value - used to report a range of
values (STORET "A" remark)
Results based on colony counts outside the
acceptable range. (STORET "B" remark)
Calculated result. (STORET "C" remark)
Field measurement. (STORET "D" remark)
In the case of species, indicates female sex.
(STORET "F" remark)
Value based on field kit determination - re-
sults may not be accurate. (STORET "H" remark)
Present above detection limit but not quanti-
fied within expected limits of precision.
(STORET "J" remark)
The analysis of this parameter was cancelled
and not performed. (\"o result; no STORET
remark)
In the case of species, indicates male sex.
(STORET "M" remark)
A-77
-------
Appendix B
12/10/87
Qualifier
Fall Name
LTL LESS THAN LOWER
DETECTION LIMIT
GREATER THAN UPPER
DETECTION LIMIT
LTC LESS THAN CRITERIA OF
DETECTION
UNK UNDETERMINED SEX
RET RETURN(ED) FOR
" RE^ANALYSIS '•
EER ENTRY ERROR
R£Q REQUEUE FOR .-^ANALYSIS
C3C CANNOT BE CALCULATED
LLS LESS THAN LOWER STANDARD
MPR MIDPOINT OF RANGE
MSL "EMSL" DETECTION LIMITS
TIE TENTATIVELY IDENTIFIED
- ESTIMATED VALUE
RIN RE-ANALYZED
REX RE-PREPARED
Definition
Actual value is known to be less than value
given - lower detection limit. (STORET "K"
remark)
Actual value is known to be greater than value
given - upper detection limit. (STORET "L"
remark)
Value reported is less than the criteria of
detection (which may differ from instrument
detection limits). (STORET "T" remark)
In the case of species, indicates undetermined
sex. (STORET "U" remark)
The analysis result is not approved by labora-
tory management and reanalysis i-s -r-equired.by
the bench analyst with no change in the method.
(No STORET remark)
The recorded value is known to be • incorrect-but
a correct value cannot be determined to enter a
correction. (No STORET remark)
The analysis is not approved and must be re-
analyzed using a different method. (No STORET
remark)
The calculated analysis result cannot be calcu-
lated because an operand value is qualified.
The analysis value is less than the lower
quality control standard. (Result; STORET "J"
remark)
The analysis value is the midpoint value of a
range of concentrations.
Instrument Detection Limits were computed using
a "T" test on two or more calibration samples.
The subject parameter was not in the contract-
defined list of parameters to be analyzed for;
however its value has been estimated. (No
STORET remark)
The indicated analysis results were generated
from a re-analysis (injection) of the sa-rce
sample extract or aliquot.
The indicated analysis results were generated
from a re-preparation (extraction) of the same
sample.
A-78
-------
Appendix B
12/10/87
Qualifier
Full Name
REJ REJECTED
SPL
SRN
SPLIT RESULTS
SPLIT RESISTS -
RE-ANALYZED .
Definition
The analysis results have been rejected for an
unspecified reason by the laboratory. For any
results where a mean is being determined, this
data was not utilized in the calculation of
the mean.
The indicated environmental sample or calibra-
tion has been split into more than one analy-
sis, and the analysis results will be reported
as more than one group of results (multiple
type 20 records).
A combination of "SPL" and "RIN"
SRX SPLIT RESULTS -•
RE-PREPARED
STD . INTERNAL STANDARD
ST3 INTERNAL STANDARD
3ELOW DETECTION LIMITS
BAG BACKGROUND CORRECTION
FBK FOUND IN BLANK
CON CONFIRMED
TF3 TENTATIVELY IDENTIFIED
AND FOUND"" IN BLANK
ALC ALDOL CONDENSATION
ALTERNATE MEASUREMENT
A combination of "SPL" and "REX"
The subject parameter is being utilized as an
internal standard for other subject parameters
in the sample. There.is no analysis result to
report/ although the theoretical and/or limit
vaiue(s) may be present.
A combination of "STD" and "BDL"
Background correction has been applied to this
value.
The subject parameter had a measurable value
above the established QC limit when a blank was
analyzed using the same equipment and analyti-
cal method. Therefore the reported value may
be erroneous.
The subject parameter has been confirmed using
an auxilliary analytical technique as specified
in the analytical method.
A combination of "TIE" and "FBK"
The indicated compound is suspected by the
analyst of being a product of an aldol conden-
sation reaction.
The subject oarameter was determined usir.c an
alternate measurement method. Value is
believed to be accurate but could be suspect.
ALTERNATE AND FOUND IN A combination of ".ALT-" and "F3K
3LANY,
A-79
-------
Appendix C
12/10/87
Appendix C
Exanple Method and .Matrix Codes for Dioxin,
General Organic and Inorganic Methods
The codes in Tables 1 and 2 are examples of method number designations for dioxin,
general organics and inorganics. In all of these, the Z position refers to the
matrix code and should be interpreted with the aid of page B-9. The generic value
of 1, which represents "water, type unknown or not specified", is used for water
analysis. Each of these generic matrix codes represents a group of specific codes,
with Z values of 2 through 9, and A through R.
Solid samples are represented by two specific codes, with Z values of G (bottom
sediment or deposit) and H (soil).
Dioxin rinsate samples use the value of Q (field sampling equipment solvent wash-
ings ).
Each'method code "shown occurs; in a type'10-'record'and acts as the header for the -,.
appropriate list of method analytes.
Method variations are designated by the N position. For example, Method 613
(Table 1) is run in three variations - full scan, partial"scan and high
resolution.
A-81
-------
Appendix C
12/10/87 •
Table 1
Examples of Method and Matrix Codes for Dioxin and General Organics
XXXX Y
N
680
680
680
613
613
613
613
613
613
613
613
1
1
1
1
1
1
1
1
1
1
1
613 1
513 1
613.1
613 1
624 1
524 i
624 1
624 1
625 A
625 8
625 C
625 C
625 C
625 A
625 B
1
1
1
1
1
1
1
2
2
2
2
3
3
3 .
3
i
1
1
2
1
1
1
1
1
2
2
1
G
H
1
G
H
Q
1
G
H
Q
1
G
H
Q
i
G
~rJ
,i
1
1
1
1
G
H
1
1
Definition
Pesticides and PC3s - water
Pesticides and PCBs - sediment
Pesticides and PCBs - soil
2/3,7,8-Tetrachloro-dibenzo-p-dioxin
2,3,1,8-Tetrachloro-dibenzo-p-dioxin
2,3,7,8-Tet rachloro-dibenzo-p-dioxin
2,3/7,8-Tet rachloro-dibenzo-p-dioxin
2,3,7,8-Tetrachloro-dibenzo-p-dioxin
2,3,7,8-Tetrachloro-dibenzo-p-dioxin
2,3,7,8-Tetrachloro-dibenzo-p-dioxin
2,3,7,8-Tet rachloro-dibenzo-p-dioxin
2/3/7,8-Tetrachloro-dibenzo-prdipxin.- water - high resolution
scan
2,3,7,8-Tetrachloro-dibenzo-p-dioxin
tion scan
2,3,7,8-Tetrachloro-dibenzo-p-dioxin
scan
2,3,7,8-Tetrachloro-dibenzo-p-dioxin
tion scan
GC/MS - Purgeables - water, internal/external standard
GC/MS - Purgeables - sediment
GC/MS - Purgeables - soil
GC/MS - Purgeables - isotope dilution - water
GC/MS - Acid Fraction - water, internal/external standard
GC/MS - Base/Neutral Fraction - water, internal/ external
standard
GC/MS - combined acid and base/neutral fractions water, inter-
nal/external standard
GC/MS - combined fractions - sediment
GC/MS - combined fractions - soil
GC/MS - Acid Fraction - water, isotope dilution
GC/MS - Base/Neutral Fraction - water, isotope dilution
water
sediment
soil
rinsate
water partial scan
sediment partial scan
soil partial scan
rinsate partial scan
sediment high resolu-
soil - high resolution
rinsate - high resolu-
Notes:
1.
2.
3.
See Page B-l for the structure of "XXXX" and "Y".
For each water sample, the appropriate value of "Z" should replace the
generic value of 1.
The values of "Z" and "N" are sample dependent and may vary within a
production run. They are reported on type 20 and 21 records (pages A-]
and A-14).
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12/10/87
Table 2
-~ Examples of Method and Matrix Codes for Inorganics
N Z Definition
200 411 Generic code for analysis of total metals in water, after
method - defined digestion, by atomic absorption, flame.
200 421 Generic code for analysis of total metals in water, after
method - defined digestion, by atomic absorption, furnace.
200 4 7 1 Generic code for analysis of. total metals in water, after
method - defined digestion/ by ICP.
Note 1: For specific matrix codes, replace Z with specific value for type of
sample (from page 3-9), and XXXX with value for metal:
202 Aluminum
204 ' Antimony "• " .•--.. - .. < .. . ..... ... . ...... ... .,,.,...
206 Arsenic . ...
208 . Barium
210 Beryllium
213 Cadmium
215 Calcium
218 Chromium
219 Cooal-
220 Copper
236 . Iron
239 Lead
242 Magnesium
243 Manganese
249 . Nickel
258 Potassium
270 . Selenium
272 Silver
273 Sodium
279 Thallium
282 Tin
286 Vanadium
289 . Zinc
Note 2: Exception-to above:
245 111 Analysis of mercury in water by the manual cold vapor
technique.
245 121 Analysis of mercury in water by the automated cold vapor
technique.
245 4 5 G Analysis of mercury in sediment, after method-defined
dicestion, by the nranual cole vapor technique.
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12/10/87
XXXX Y N Z Definition
245 4 5 H Analysis of mercury in soil, after method-defined digestion,
by the manual cold vapor technique.
245 451 Analysis of mercury in sludge, after method-defined digestion,
by the manual cold vapor technique.
335 121 Analysis of total cyanide in water by titri/netric, manual
spectrophotometric, or semi-automated spectrophotometric means.
335 1 2 G Analysis of total cyanide in sediment by titrimetric, manual
spectrophotometric/ or semi-automated spectrophotometric means.
335 1 2 K Analysis of total cyanide in soil by titrimetric, manual
spectrophotometric, or semi-automated spectrophotometric means.
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Table 3
Example of the Sequence of Record Types in a Production Run
10 Contains the Run Header information
11 Contains Additional Run-Wide Information as Recjuired.
12
13
20 Occurs once for each sample, calibration, mean response factors,
instrument detection limits, etc. - Acts as a header.
21 Will usually be present
22 Contains additional information for samples.
30 Occurs once for each final analytical result. Will give
whatever value is being determined as defined by the type 20.
31 Reports any instrumental data necessary.
32 Reports any auxilliary data necessary.
33 Reports component names if necessary.
34 Reports QC Limit information if necessary.
35 Reports Corrections to results if necessary.
• '-" " " 30 'Values for the next analyte or parameter being measured.
31 Additional data may vary for each parameter/ and records
32 may occur in any order. Multiple occurrences of the
32 same record type, however, must be consecutive.
33
30 Continues for as many as are necessary.
31
32
33
30
31
32
33
20 Next Sample Header record - the following applies to the next
21 sample or other group of data.
22
30
31
32
33
30
31
32
33
etc.
20
21
30
31
32
33 • -
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SEPA
Classification No.: 2180.3
Approval Date: 4/9/90
FACILITY IDENTIFICATION DATA STANDARD
1. PURPOSE. This Order establishes a data standard for unique
facility identification codes-to be maintained in all EPA
data collections containing information on facilities
regulated by EPA under authority of Federal environmental
legislation. Standardization of the format and content of
. facility identification codes will enhance data integration
capabilities and increase the utility of all EPA data on
facilities.
2. SCOPE AND APPLICABILITY. The requirements of this Order
apply to all programs responsible for data on regulated
facilities reported to EPA and kept in automated or manual
information collections developed for programmatic,
research, or administrative purposes. The Order applies to
programs operating both existing or future Agency systems in
support of Federal environmental regulations.
The principles of the standard can be extended to cover
nonregulated facilities at program office discretion.
Excluded from the standard are data monitoring or
observation points, unless they are associated with a
facility. In that case, the information collection must
allow association of such data with the relevant facility.
3. REFERENCE. Chapter 5, of the EPA IRM Policy Manual sets
forth the general principles on data standards within the
Agency. This Order defines one of several data standards
for use by EPA in implementing the policy.
4. BACKGROUND.
a.
'315-12A (5-861
Adoption of a consistent, Agency-wide coding scheme for
facility identification will enhance the utility of EPA
data by increasing access to and integration of
facility information.
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b. Since the early 1980s, EPA has striven to create a
standard ID coding scheme for facilities that can be
used not only in individual programs, but across the
Agency as a whole,
c. There now exists an urgent need for improved data
integration capabilities. These capabilities provide
the underpinnings for the comprehensive analyses of
environmental conditions that increasingly guide EPA's .
initiatives in protecting and improving the environment.
Examples of such analyses include risk assessment,
compliance behavior determination, vulnerability
assessments, "hot-spot" identification, research and
modeling, and special inter-program studies.
d. Environmental legislation and regulation often define
specifically the meaning of the term "facility" for EPA
programs. The resulting differences in use of facility
identifiers make it difficult to compare and integrate
information on the same facility in different data
bases.
e. A variety of descriptors, such as SIC (Standard
Industrial Classification) codes and DUNS (Data
Universal Numbering System) numbers, are available to
programs for describing the corporate characteristics
of a site. A new data standard is needed to establish
that, for EPA information management purposes, the
uniqueness of a facility is based upon its location
rather than corporate characteristics.
f. EPA has implemented other data standards, as well as
standards for hardware and software. Adoption of a
standardized facility identification code will help the
Agency realize the potential benefits of these
standards for information integration and analysis.
5. AUTHORITIES.
a. 15 CFR Subtitle A, Part 6, Standardization of Data
Elements and Representations.
b. OMB Circular A-130, Management of Federal Information
Resources.
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6. POLICY. This Order establishes an EPA standard that each
facility regulated by EPA will have a unique facility ID
code, which will be the same for that facility across all
EPA collections of information. Therefore:
a. Any collection of information assembled by or for EPA
with data that describe a facility regulated by EPA
under authority of Federal environmental statutes,
including facilities regulated by state programs with
delegated authority from EPA, shall contain in each
record on or related to a single facility the facility
identification code described in this Order and its
appendix. The identification code for any one facility
will be the same in all EPA collections of information.
At the discretion of program offices, nonregulated
facilities may also receive EPA IDs.
b. The facility identification code shall" be comprised of -
a unique 12-character identification code controlled
and issued through the EPA central facility data base.
c. The central facility data base will be operated by the
Office of Information Resources Management. The
objectives in maintaining this central data base are:
(1) To provide a concise, comprehensive inventory of
facilities regulated by EFA
(2) To provide users with a simple method for
determining a facility's ID code and ascertaining
which program systems keep information on each
facility.
d. The data element field used to store the identification
code in program systems should be readily accessible to
system users. The data element need not be a required
field for initial data entry, but should always
eventually be filled.
e. Program personnel may continue to use any
program-specific identifiers (including DUNS numbers)
needed to support the program mission, provided that
such identifiers are kept in addition to the facility
identification code established in this Order.
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EPA ORDER 2180.3
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f. In the interest of maintaining the confidentiality of
Confidential Business Information (CBI) data kept by
the Agency, information collections with CBI data will
be considered as special cases.
g. The Agency goal is to complete implementation of this
standard by 1995, in recognition of the extensive time
and resource commitments required by programs and OIRM
to implement the standard.
h. Once this Order becomes effective, adherence to the
standard will become a key step in the development of
new information collections. Existing information
collections may be made consistent with the standard
through phased implementation* This phasing will take
into account system capabilities and needs.
7. RESPONSIBILITIES.
a. The Office of Information Resources Management (OIRM)
shall:
(1) Develop, implement, and ensure adherence to this
data standard.
(2) Develop a management plan describing steps for
implementation of the standard.
(3) Provide guidance and technical assistance in
meeting the requirements of this standard.
(4) Provide unique facility identification codes in an
efficient and responsive manner.
(5) Maintain a central facility data base with
identification codes and basic information
associated with each facility.
(6) Oversee resolution of conflicts regarding
applicability or other issues relating to. the
standard.
b. Assistant Administrators, Associate Administrators,
Regional Administrators, Laboratory Directors, the
General Counsel, and Heads of Headquarters Staff
Offices shall establish procedures within their
respective organizations to ensure compliance with the
requirements of this data standard. Such procedures
shall include the following:
(1) Oversee development of individual program
implementation plans.
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(2) Ensure that program representatives supply the
central facility data base with program-specific
IDs and with the key information necessary to
assign the EPA ID code (e.g., name, address,
etc.).
(3) Ensure that each system containing facility
information maintains a data element field for the
standardized facility identification code.
(4) Ensure that each facility record — both new and
existing — carries the standardized facility
identification code from the central facility data
base.
(5) Inform facility representatives of their ID codes,
as appropriate, and incorporate the codes into
reporting forms.
(6) Notify OIRM of any difficulty in meeting the
requirements of the data standard within the time
frame specified in the program implementation
plan.
c. The Procurement and Contracts Management Division shall
work with EPA Program and Regional Offices and
Laboratories to ensure that, where appropriate, the
requirements of this standard are incorporated into EPA
contracts.
d. The Grants Administration Division shall work with EPA
grants management offices to require a special
condition in future award documents mandating
assistance recipients to use facility ID codes for any
facility-related information collected under the
assistance agreement, in cases where recipients are
acting for EPA under delegated authority.
8. DEFINITIONS.
a. A "FACILITY" is a locational entity, deliberately
established as a site for designated activities, but
not primarily for habitation (even though on-site
habitation may be necessary to the execution of the
primary activities). Examples include a factory, a
military base, a college, hospital, national park,
office building, or prison. (Adapted from FIPS Pub.
55.)
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EPA ORDER 2180.3
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In some cases, a facility with complex, multiple
functions may have several plants or establishments
operating within its property boundaries. For these
facilities, ID codes will generally be assigned to the
most comprehensive "level." However, a complex
facility with multiple establishments or operations may
receive several IDs, if more than one code is
appropriate.
A facility may include wells or pipes located off the
facility property. Although these "sub-units" will not
ordinarily receive separate facility ID codes, program
systems should be able to associate data on the
sub-units with the- record for the facility itself.
b. "FACILITY IDENTIFICATION CODE" is a 12-character code
that uniquely identifies a facility. The appendix to
this. Order describes the format of the code in detail.
c. A "FACILITY IDENTIFICATION DATA STANDARD" is the
requirement, in terms of format and content, that every
record of information referring to a particular facility
contain a data element field with a unique facility
identification code. This code is to be used
consistently across all collections of information
containing information on the same facility.
?. PROVISION FOR WAIVER. In general, OIRM will attempt to work
with program offices to develop a feasible implementation
schedule for the standard. There may exist, however, cases
in which exceptions to the requirements of this Order are
warranted. In these cases, program offices shall
demonstrate reasons for waiver. The process to apply for a
waiver is as follows:
a. Draft an application for waiver to OIRM outlining the
reasons why the facility identification data standard
should not be implemented in the information
collection.
b. Obtain approval by the decision official in the
requesting office and the respective Senior Information
Resources Management Official (SIRMO).
c. Submit application to the Director of OIRM, who has
responsibility for final disposition.
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EPA ORDER 4/9/90
The applying office will be notified in writing of the
disposition of the waiver.
10. PROCEDURES. The appendix to this Order contains preliminary
information relevant to implementation of the standard.
OIRM will also issue a management plan, which will describe
the general steps and overall schedule for implementation of
the standard over the next five years. In addition to the
Agency management plan, programs will develop individual
implementation plans together with OIRM, These plans will
consider program-specific capabilities and needs.
Charles L.
Assistant Administrator for
Administration and
Resources Management
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EPA ORDER 2180.3
4/9/90
APPENDIX TO THE FACILITY
IDENTIFICATION DATA STANDARD
1.0 INTRODUCTION
1.1 Purpose of Appendix
The purpose of this appendix is to provide further
detail on the facility identification data standard
announced in the preceding Order. While the Order
introduces the data standard, it does not contain the full
level of detail necessary for programs to form a working
understanding of the standard.
In addition to this appendix, an Agency-wide
implementation plan will be issued through the Office of
Information Resources Management (OIRM). This
implementation plan will cover in detail such issues as
overall schedule for implementation, instructions for
applying for waivers, procedures adopted by OIRM to ensure
adherence to this standard, and the role of the central
facility index system (FINDS).
1.2 Background of the Facility Identification Data
Standard
The Agency has long striven to create a standard
coding scheme for facility ID codes that could be used not
only in individual programs, but across the Agency as a
whole. Such a scheme would help EPA more readily generate
facility-specific responses to public inquiries and
determine patterns of compliance behavior across programs.
These reasons, however, are only part of the
justification for adopting this new standard. EPA is
experiencing a vigorous trend towards cross-media analyses
such as site characterizations, risk assessments and other
environmental analyses that require the integration of data
on individual facilities from diverse sources. The net
result is an even greater need for data integration and
sharing across different environmental media and programs.
This trend is often acknowledged by staff in single-media
programs, who now face increasing demands for data sharing
and integration.
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EPA ORDER 2180.3
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OIRM, in order to support the Agency's needs for data
sharing and integration, has established an information
management policy on Data Standards. Substantial
implementation costs might be expected to be associated
with promulgation of numerous retroactive data standards,
and in the start-up phase many programs responsible for
implementing these standards would derive few immediate
benefits. For this reason, OIRM is taking a very measured
approach and has identified only two standards as being of
paramount importance.
The facility ID data standard is one. The other is
embodied in the locational data policy, which establishes
latitude and longitude, in an internationally-compatible
•format, as the Agency's preferred locational coordinate
system. Both are undergoing concurrent green border review
and will be complementary when implemented. Adoption of
these selected standards at this time is absolutely
essential if the Agency is to respond effectively to the
anticipated data integration needs of the future.
As discussed above, OIRM will issue a management plan
for the facility ID data standard, which will describe the
general steps and overall schedule for implementation of
the standard over the next five years. In addition to the
Agency plan, programs will develop individual
implementation plans together with OIRM. These plans will
consider program capabilities and needs with respect to
implementation.
OIRM has attempted to furnish program personnel with
ample opportunity to provide input on the development of
the facility identification data standard. To this end,
program and system managers from EPA Headquarters, Regions,
and states have been asked to contribute both to the
development of the standard and to the formulation of this
Order. Only with full program support and participation
can OIRM establish a data standards program that will meet
EPA's needs both now and in the future.
2.0 STRUCTURE OF THE FACILITY IDENTIFICATION CODE
The facility identification code is the key feature of this
facility identification data standard. This code will consist
of a 12-character standardized identification (ID) code. The
first two characters will be the Federal Information Processing
Standard (FIPS) two-letter abbreviation for the state or
territory in which the facility is located. Abbreviations will
also be used for facilities located outside of the U.S., for
example in Canada or Mexico.
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EPA ORDER 2180.3
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The remaining ten characters of the code will include a
check digit, will have no inherent meaning, and will not attempt
to describe, categorize or classify the facility in any way.
This applies only to new facility ID codes issued after the
effective date of implementation. Identification codes issued
previously under OIRM's Facility Index Data System (FINDS) may
be retained.
3.0 SOURCE OF THE STANDARDIZED FACILITY ID CODE
OIRM will maintain a central facility data base with basic
information on each facility such as name, address, etc. This
data base will serve as an inventory of facilities of interest
to EPA. It will also be the means through which the unique,
standardized facility ID codes will be assigned. OIRM," in
cooperation with program offices, will develop methods and
procedures for assigning unique ID codes efficiently. These
procedures will be defined in the program-specific
implementation plans, and will be automated as fully as possible
To create or identify a pre-existing ID code, key information
on the facility, including particularly the facility name and
address or other location information, must be made available to
the central facility index system via these procedures, OIRM
will develop effective and efficient procedures for ID
assignments.
4.0 SCOPE OF THE FACILITY IDENTIFICATION DATA STANDARD
Section 2 of the Order, Scope and Applicability, presents
the official scope of the facility identification data standard.
This section augments that discussion in an attempt to
anticipate questions that program managers may have regarding
applicability of the standard.
4.1 Definition of a Facility
Successful implementation of a facility identification
data standard hinges on a consistent understanding of what
"facility" means. A common understanding is necessary for
determining to which facilities the standard applies. An
Agency-wide definition of "facility" is difficult to
establish, however, because of differences in Federal
legislation, which prescribe the program definitions of
"facility." As a result, perceptions of facilities differ
from program to program.
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Differences notwithstanding, most program managers
have developed a common-sense definition of a facility. In
this approach, a facility is a single contiguous
property—either an entire property or the portion thereof
that is of regulatory concern. Variability in definitions
of facilities usually occurs because different portions of
facilities are regulated, not because of differences in
facilities per se.
OIRM intends to establish a Facility Advisory
Committee composed of Agency program office representatives
to assist in implementing the data standard. Should
further clarification of a standard facility definition be
required, the committee may be called to. resolve the issue.
4.2 Inclusion of Non-EPA-regulated Facilities
If desired, a facility ID code may be assigned to a
facility not regulated by -EPA. Such a scenario might
arise, for example, if program personnel need ID codes for
facilities of interest to EPA, but located outside of the
United States. Additionally, ID codes can be assigned to
state-regulated facilities, if appropriate.
4.3 Use of Concurrent Program Identifiers
Many program-specific codes are now used to identify
facilities (e.g., permit numbers or site IDs). Program
personnel may continue to use these identifiers in their
own data collections under this standard, provided that the
program information system accommodates both the
standardized ID code and the program-specific identifiers.
If an information collection stores other
identification codes in addition to the standardized ID
code, these codes should be provided to the central data
base under the procedures outlined in each program
implementation plan. The central data base can then store
listings of both facility and program-specific ID codes,
which will further facilitate data integration and sharing.
4.4 Use of Previously Assigned EPA ID Codes
Facilities regulated by some programs have already
been assigned EPA ID codes through FINDS under the current,
DUNS-based numbering scheme. (DUNS is the Dun & Bradstreet
Data Universal Numbering System for corporations.) These
codes do not have to be replaced, i.e., new standardized ID
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EPA ORDER 2180.3
4/9/90
codes for these facilities need not be assigned. However,
if an EPA ID number was assigned internally by program
staff but was not entered into FINDS, OIRM should be
notified of this number and the facility name and address
associated with it. This notification will enable the
central data base to keep a complete record of all EPA
facilities and their associated identification codes.
5.0 RELATIONSHIP OF THE FACILITY IDENTIFICATION DATA STANDARD
TO FINDS
Assignment of EPA ID codes already occurs through a central
data base—FINDS—for several EPA programs. This data base
will . continue.to operate under-the new data standard. Some
features of the current FINDS operation will remain the
same, while others will be modified to make the system more
responsive to program needs under the new standard.
5.1 Similarities Between Old and New Operations
Similarities between the old and the new FINDS are as
follows:
Program data managers will obtain facility ID
codes through the central data base.
The central data base will continue to house
basic descriptive information on each facility.
The central data base will have the Dun and
Bradstreet (D&B) file available to obtain
descriptive information on facilities.
Information supplied by the program offices will
be used in conjunction with D&B data to ensure
the accuracy of facility information in the
central data base.
Program personnel will work with the OIRM system
manager in keeping the descriptive information
up-to-date by notifying OIRM through automated
procedures when they become aware of a change in
this information. OIRM will work with program
offices to accomplish regular and responsive
updating.
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EPA ORDER 2180.3
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5.2 Differences Between the Old and the New FINDS'
Differences between the current and the new FINDS are
as follows:
The new identification code will no longer be
based on the 9-digit DUNS identification code.
EPA will actively encourage states to use FINDS
and to supply information to it on facilities
regulated by state law.
To the extent possible, the system will store
information on all regulated facilities reported
"' •*'•' "•" ""••- to EPA, and will not exclude facilities based on
size or type of operations.
5.3 Use and Availability of DUNS Numbers
OIRM has based the decision to use a unique,
nondescriptive ID rather than a DUNS-based ID on a
determination that, due to facility definition problems,
the DUNS number does not fully meet EPA's needs for a
unique ID code. For example, when an establishment moves,
the DUNS number moves with it, and many EPA programs in
this case would require new permit numbers to be assigned.
The fact that the facility ID code will no longer be
based on the DUNS number does not diminish the importance
of these numbers. OIRM continues to encourage programs to
collect and maintain DUNS numbers in their information
systems, if these numbers are needed for the program
mission. So that program personnel can obtain these
numbers more easily, EPA will continue to purchase on-line
access to the Dun and Bradstreet file of facilities.
5.4 Relationship of Facility Identification Data Standard
to Locational Data Policy
OIRM has previously issued two data standards, one for
use of Chemical Abstract Service numbers and the other for
electronic transmission of laboratory data (EPA Orders No.
2180.1 and No. 2180.2). OIRM is also planning to issue a
locational data policy, currently in green border review.
This policy establishes the principles for collecting and
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EPA ORDER 2180.3
4/9/90
documenting latitude/longitude coordinates for facilities,
sites and monitoring and observation points regulated or
tracked under federal environmental programs within EPA's
jurisdiction.
All of these efforts are related in that they increase
the potential for data sharing and integration. The
locational data policy, however, is directly related to the
facility identification data standard. These two efforts
complement each other by providing primary identification
and locational information on entities of interest to EPA.
An important difference in scope is that the facility ID
data standard applies primarily to regulated facilities,
whereas the locational data- policy covers both facilities
and other locations, such as monitoring stations, where
environmental data are collected. FINDS will continue to
allow entry of locational information for facilities.
6.0 IMPLEMENTATION OF THE FACILITY IDENTIFICATION DATA STANDARD
OIRM intends to establish an advisory committee composed of
Agency program office representatives to assist in the
implementation of the data standard.
6.1 Schedule for Implementation of this Standard
In the forthcoming Agency implementation plan, OIRM
will publish the general schedule for implementation of the
standard over the next five years. This plan will be
followed by development of individual program
implementation plans, which programs will formulate
together with OIRM. For the individual program plans, OIRM
will work on a one-to-one basis with program staff to
develop a realistic implementation schedule that takes into
account such factors as mission priorities, system
capabilities, and the size of the information collection.
OIRM recognizes that implementation of the standard is a
large-scale undertaking, and it has already considered that
for some program offices, implementation should be phased
over several years.
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6.2 Procedures for Adopting the Standard
The program implementation plans will discuss:
procedures to obtain IDs for facilities that are
being newly regulated by the program
procedures to obtain new IDs for facilities with
existing records in program data bases
methods for communicating changes in facility
descriptive information.
The plans will define individual procedures for the
.exchange of facility IDs and related information between,,
specific program systems and FINDS.
6.3 Procedures Adopted by OIRM for Assuring Adherence to
this Standard • • •
In addition to the assurance that comes from extensive
communication with program offices when developing and
executing implementation plans, OIRM has a number of
alternatives for assuring adherence to the information
management requirements of the standard. These include:
Exercising the right to refuse to endorse any
computer-based collections of information that do
not include a field for the standard facility ID
code
Not concurring on forms for systems-related
information collection that do not reference the
standard facility ID code.
Further potential enforcement measures as well as
procedures for sharing enforcement responsibilities with
other EPA management offices will be addressed in the
implementation plan.
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lassification No.:
pproval Date:
7500.1
9/11/89
MINIMUM SET OF DATA ELEMENTS FOR GROUND-WATER
PURPOSE. This policy statement establishes the minimum data
elements to be collected and managed by the Environmental
Protection Agency (EPA) ground-water data collection
activities. The underlying purpose is to more efficiently
manage and share data within the ground-water community,
including States, local governments, the regulated community,
EPA, and other ^Federal agencies <; - - --••• •-•-•
SCOPE AND APPLICABILITY. This policy applies to all ground-
water data collection activities directly carried out by EPA
staff or EPA contractors, including"research and development,
and enforcement.
The collection of ground-water data by EPA's delegated
state programs and grantees, States, localities, the regulated
community, and other Federal agencies is not within the scope
of this policy. However, to encourage the efficient sharing
of data within the ground-water community, these entities are
encouraged to adopt this minimum data set where appropriate.
In the future, some of these entities may be required by EPA
to comply with this policy when, after opportunity for notice
and comment during the Agency's normal regulatory or policy
development processes, the Agency determines compliance is
necessary for accomplishing its statutory mandates.
BACKGROUND. In 1986 EPA completed its Ground-Water Monitoring
Strategy and in 1987 it completed a Ground-Water Data
Requirements Analysis. Both of these reports provide a clear
message to EPA Program and Regional Offices, and the States,
on the importance of, and need for, ground-water data
standards. The establishment of a minimum set of data
elements for EPA ground-water data collection activities is
a first major step in this process.
orm 1315-12A<5-86)
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The Agency has defined the minimum set of data elements as
those basic elements necessary for it to use data from wells
and springs across ground-water related programs. The set is
characterized by elements that:
o are needed to communciate ground-water data across
programs;
o facilitate accessing data from automated information
systems other than one's own;
o provide to the users a road map for finding other
related data; and
o provide a link between water quality and well
- •••••-• location information. ••• .-.-•••--• .
4. POLICY. It is EPA policy to collect and maintain consistent
ground-water data based on a minimum set of data elements.
EPA Program Offices and Regions will incorporate this policy
into their ground-water data collection activities through
appropriate mechanisms such as regulations, policies,
directives, orders, guidance, or procedures, when consistent
with statutory and other significant policy, administrative,
and technical considerations. When Agency programs employ
alternative data collection schemes in future activities,
regulatory or other documentation supporting the new activity
will show how the alternative dlata collection scheme relates
to the minimum set of data elements and will provide a
rationale for the differences.
This policy does not require modifications to existing
regulations to bring them into accord with policy; however,
the policy should be considered during the reauthorization
process for regulations.
a. The minimum set shall consist of the following:
Latitude
Longitude
Method of Measure for Latitude/Longitude
Source Agency for Latitude/Longitude
State FIPS1 Code
Federal Information Procedures System (FIPS;
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County FIPS Code
Altitude
Unique Well/Spring and Facility
Identification
Use of Well
Depth of Well at Completion
Depth to Top of Open Interval
Depth to Bottom of Open Interval
-- Location of Log
Type of Log
Source Agency for Sample Data
Sample Date
Parameter Measured
Concentration/Value (in standard units)
- - ... ,Confidence.Factor (Field and Lab..quality ..-. ....
assurance)
Sample Identification
Depth to Water
• • • Measurement Quantification
b. A dictionary defining elements in the minimum data set
will be developed by the Office of Ground-Water Protection
(OGWP). Data standards and formats will also be developed,
where appropriate, by the Office of Information Resources
Management (OIRM).
5. RESPONSIBILITIES.
a. The Office of Ground-Water Protection (OGWP), in
cooperation with EPA Program Offices, shall provide
guidance with technical assistance in implementing the
requirements of this policy.
b. Assistant Administrators and Associate Administrators
shall ensure that Programs and activities under their
direction are in compliance with this policy. EPA Program
Offices and Regions can add additional elements to the
minimum data to meet their special-program needs.
c. Regional Administrators shall assure that the Regional
Offices have an effective program to foster and support
the minimum set of data elements for reporting ground-
water data.
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d. The Office of Information Resources Management (OXRM)
shall provide % effective leadership by helping other
Agency Offices comply with this policy. OIRM shall
be involved as part of the review process in cases
where Agency Offices employ alternative data collection
schemes. OIRM shall work with other Agency Offices to
develop any requisite data standards for individual
elements of the minimum set.
e. The Procurement and Contracts Management and Division
shall work with EPA Program and Regional Offices and
Laboratories to ensure that, where appropriate, the
-* requirements of this policy are incorporated into EPA
contracts.
Charles
Assistant Administrator
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