TECHNICAL PROPOSAL AND JUSTIFICATION
FOR REVISING THE 1987 ANNUAL/BIENNIAL
REPORTING FORMS AND DATA SYSTEM
DRAFT
Prepared for:
Office of Solid Waste and Emergency Response
U.S. Environmental Protection Agency
401 M. Street. S.W.
Washington, D.C. 20460
Prepared by:
Center for Policy Research and Analysis
National Governors' Association
444 North Capitol Street
Washington, D.C. 20001
July 22, 1987
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ACKNOWLEDGEMENTS
Many people contributed to and assisted in the
report. In particular, we wish to thank: Mike Burns,
Eby, Jim Craig, Larry Rosengrant, George Bonino and
Environmental Protection Agency, Office of Solid Waste;
ERM; John Rodgers and Garrett Moran of Westat; Mary Lou
of DPRA; members of Annual/Biennial Report Advisory
interested parties who reviewed our earlier papers
comments.
development of this
Jo Ann Bassi, Elaine
Donna Inman at the
Raghu K. Raghavan of
Marino and Tom Graham
Committee; and other
and provided helpful
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TABLE OF CONTENTS
Chapter Page
1. INTRODUCTION 1-1
A. BACKGROUND 1-1
B. ADVISORY COUNCIL RECOMMENDATIONS 1-2
C. ORGANIZATION OF PROPOSED REPORTING FORMS 1-4
D. IMPLEMENTATION OF THE REVISED FORMS 1-12
E. REQUIRED REGULATORY CHANGES 1-13
F. OUTLINE OF THE REPORT 1-14
2. REGULATORY STATUS 2-1
A. INTRODUCTION AND OVERVIEW 2-1
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA 2-1
C. POLICY OPTIONS 2-2 .
D. DATA AND INFORMATION REQUIREMENTS 2-3
E. USEFULNESS OF CURRENT DATA 2-5
F. DESCRIPTION OF THE PROPOSED FORMS 2-6
G. SAMPLE OUTPUTS AND USES OF THE DATA 2-10
H. PROS AND CONS OF THE PROPOSED SYSTEM 2-19
3. WASTE QUANTITY AND PROCESS TRACKING 3-1
A. INTRODUCTION AND OVERVIEW 3-1
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA 3-2
C. POLICY OPTIONS 3-3
D. DATA AND INFORMATION REQUIREMENTS 3-3
E. USEFULNESS OF CURRENT DATA 3-7
F. DESCRIPTION OF THE PROPOSED FORMS 3-10
G. SAMPLE OUTPUTS AND USES OF THE DATA 3-14
4. WASTE CHARACTERIZATION 4-1
A. INTRODUCTION AND OVERVIEW *. 4-1
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA 4-2
C. POLICY OPTIONS 4'2
D. DATA AND INFORMATION REQUIREMENTS 4-3
E. USEFULNESS OF CURRENT DATA 4-6
F. DESCRIPTION OF THE PROPOSED FORMS 4-7
G. SAMPLE OUTPUTS AND USES OF THE DATA 4-8
5. CAPACITY ASSESSMENT 5-1
A. INTRODUCTION AND OVERVIEW 5-2
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA 5-2
C. POLICY OPTIONS 5'3
D. DATA AND INFORMATION REQUIREMENTS 5-3
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TABLE OF CONTENTS (cont'd)
Chapter Page
E. USEFULNESS OF CURRENT DATA 5-7
F. DESCRIPTION OF THE PROPOSED FORMS 5-7
G. SAMPLE OUTPUTS AND USES OF THE DATA 5-9
6. WASTE MINIMIZATION 6-1
A. INTRODUCTION AMD OVERVIEW 6-1
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA 6-1
C. POLICY OPTIONS 6-3
D. DATA AND INFORMATION REQUIREMENTS 6-4
E. USEFULNESS OF CURRENT DATA 6-4
F. DESCRIPTION OF THE PROPOSED FORMS 6-5
G. SAMPLE OUTPUTS AND USES OF THE DATA 6-10
H. PROS AND CONS OF THE PROPOSED SYSTEM 6-10
7. ANNUAL/BIENNIAL REPORTING SYSTEM : 7-1
A. PROJECT OVERVIEW AND SYSTEM CONCEPT 7-1
B. SYSTEM OVERVIEW AND DATA FLOWS 7-3
C. ISSUES 7-7
APPENDICIES
A. Draft Revised Forms for the Annual/Biennial Report.
B. Draft Instructions for the Revised Forms
C. System Flow Diagrams for Report Data System
D. Project management Plan for the Report Data System
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CHAPTER 1
INTRODUCTION
A. BACKGROUND
A proposal for revising the EPA standard forms used by generators,
treaters, storers, and disposers of hazardous waste in reporting their
hazardous waste activities to States and EPA regional offices is presented in
this paper. EPA requires states to collect hazardous waste information on a
biennial, annual, or more frequent basis under the Resource Conservation
Recovery Act (RCRA) of 1976, for use by the agency, and State agencies, in the
planning and evaluation of hazardous waste regulatory programs. The
information is also valuable for reporting to Congress, state legislatures,
and the public on locations, quantities, and disposition of the waste. The
mandate for EPA to require handlers of regulated wastes to submit reports
biennially appears in 40CFR, sections 262.41 and 264.75. In addition to
addressing well-known problems with the current biennial report (see
"Designing a More Effective Hazardous Waste Reporting System: A Background
Paper," National Governors' Association, Center for Policy Research, January
30, 1987), the proposed new forms have been designed not only for covering
wastes regulated as hazardous under RCRA, but to be suitable as well for
state-regulated hazardous wastes. This design feature has been incorporated
to encourage state adoption of the form for their own reporting purposes.
The proposed forms included in this paper are an outgrowth of two prior
meetings of the RCRA Annual/Biennial Reporting System Advisory Council, eacft
preceded by widely circulated discussion papers. The first meeting was
conducted on February 11, 1987, and the second on April 30 - May 1, 1987. The
Advisory Council, which was formed at EPA's request by the National Governors
Association (NGA), consists of .representatives from States, the RCRA regulated
community, interested outside information users (including environmental
groups), and EPA's Office of Solid Waste (OSW) and Regional Offices. In
addition to recommending the revised form to EPA, the Council, in subsequent
meetings, will consider three remaining aspects of the biennial reporting
system:
Reporting Considerations Mechanisms that may ease handlers'
reporting burdens, including the use of electronic data-transfer
techniques;
Data Processing -- Development of an automated system for managing
data reported on State and EPA computers, including screen entry,
automated editing, and retrieval of standard reports;
State Reporting to EPA Issues concerning the flow of data from
States to EPA? including the extent of EPA access to handlers'
reporting records, and interfaces between State Annual/Biennial
Report data bases and the Resource Consideration and Recovery
Information System (RCRIS).
In its first meeting, the Advisory Council reached consensus on five
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priority information areas that deserved attention in revising the RCRA
reporting system and EPA's standard forms:
Waste Quantity and Processing Tracking -- Quantities of RCRA and
State hazardous wastes generated, the sources of such quantities,
and the manner in which such quantities are subsequently managed
including quantities transported off-site and their various
destinations, the specific quantities managed both on-site and
off-site in intermediate storage and treatment processes, and the
actual quantities of hazardous wastes ultimately disposed of.
Waste Characterization ~ Nature of wastes regulated under RCRA and
associated State regulatory programs including data on intrinsic
hazards posed by such wastes, their physical form and chemical
composition, and other information necessary to assess the human
health and environmental risks posed by managing such wastes.
Regulatory Status Reporting year status of hazardous waste
handlersregulated under RCRA and associated State regulatory
programs including that which is necessary to determine which
handlers are required to report, and the numbers of handlers
falling within general categories of RCRA and State hazardous waste
regulatory programs during the reporting period.
Waste Minimization Handlers' practices and accomplishments in
reducing both the quantities of hazardous waste generated at the
source and its residuals, and the nature of the hazards posed by
such wastes.
Capacity Assessment Amount of capacity remaining at the end of
the reporting period for processes used in treating, storing, and
disposing of hazardous wastes including information describing any
changes in process capacity that occurred during the reporting
period, and the. extent to which remaining processing capacity is
available to meet future demands or the overall supply of such
capacity.
B. ADVISORY COUNCIL RHXBMENDATIONS
In addition to general comments like "keep the form as simple as
possible," and to the extent possible, "the annual/biennial report process
should make use of the data available in the 'manifest' system, and be
compatible with it," specific requirements for each of the five information
areas above were identified during the Council's second meeting. These
requirements were used by staff to guide them in producing the current drafts
of the revised EPA forms. The following section summarizes these requirements:
Waste Quantity Tracking
Generators should identify and quantify each waste type
generated during the reporting period at the reporting
establishment.
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-- Generators should indicate for each waste type their
understanding of the ultimate method of disposal.
-- Mode of transport and destination should be reported for
generated wastes which are treated and disposed of off-site.
-- TSDs should indicate the generation source for each waste type
received from off-site.
TSDs should report sequences of handling methods applied to each
reported waste type.
-- Handling method codes used for TSD reports should include all 3
character codes listed in EPA's current hazardous waste
regulations.
-- Quantities of intermediate products in a sequence of handling
methods will not be required.
Hazardous residues of handling methods should be reported as
generated wastes.
-- A 3-character code for "transfer station" operations should be
included as a handling method.
Provision should be made for reporting what happens to hazardous
wastes that are fuel-blended.
Process Quantity Tracking
TSDs should report aggregate quantities of hazardous waste
handled by each handling method.
Waste handlers should submit information describing their
"permitted and available" handling capacity for hazardous wastes.
Information on hazardous waste handling capacity available to
persons other than the respondent should be collected including
"how much is for them and how much is for others".
-- Waste handlers should indicate any plans (e.g., as exemplified
by a permit application, etc.) to make changes in their waste
handling capacity.
Some indication should be provided as to whether the available
handling capacity is dedicated for hazardous waste or that may
be used for both hazardous and non-hazardous waste.
Waste Characterization
Waste stream data should be characterized on the basis of: (1)
the current 4-character EPA Waste Codes; (2) physical form; and
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(3) a limited number of other characteristics. Possible
candidates include: (1) acid/base; (2) percent solid/liquid; (3)
organic/inorganic; (4) halogenated/non-halogenated; and (4)
presence of reactive anions.
Regulatory Status
-- All regulated parties except for small quantity generators
should report detailed, quantifiable, hazardous waste handling
information. Small quantity generators would be required only
to update relevant regulatory status information.
Waste Minimization
-- Generators should provide general information on their efforts
to minimize waste along with data on their past practices. All
information would be provided on a waste stream basis by SIC
code.
-- Subjective questions should be avoided as well as questions
about future practices.
The instrument should include some sort of production change
indication ratio per SIC code by facility.
-- Toxicity should be addressed in narrative form.
All of the information collected should be quantifiable to the
extent possible.
For the most part, the draft forms included in this proposal follow
closely the guidance provided by the Advisory Council. There are several
exceptions, most notably in the areas of: (l) waste characterization where
complementary waste description code information is solicited for the purpose
of compiling basic information on the physical and chemical nature of reported
wastes; (2) waste quantity tracking, where a new listing of handling codes is
recommended; and (3) process quantity tracking, where information is sought
regarding the "availability" of waste handling capacity. Differences between
the guidance provided the Advisory Council and the draft forms were mainly due
to requirements identified by EPA as necessary in fully carrying out its
regulatory mandates and are included for the Council's consideration. Other-
extensions to the forms were necessary in order to make the Annual/Biennial
Report data more compatible with other EPA data collection efforts (e.g.,
RCRIS).
C. ORGANIZATION OF PROPOSED REPORTING FORMS
Copies of the draft reporting forms are included in Appendix A. The
complete set consists of ten individual forms, including a respondent
identification form, a form to assist handlers in determining who must report
and what forms are to be reported, and a Regulatory Status form. A complete
list of the proposed reporting forms and their functions is provided below:
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Form 1C: Identification and Certification
Confirm or report location and mailing addresses.
-- Report 4-digit SIC codes for site.
Report tank accumulation capacity.
-- Sign standard certification statement.
Form FS: Form Selection
Indicate whether site generated (large quantity), shipped,
or received RCRA hazardous wastes.
-- Indicate whether site generated wastes required to be
reported only by the state.
-- Indicate whether site processed hazardous wastes in RCRA
or RCRA-exempt units (excluding accumulation), or whether
such units exist a the site.
Indicate whether site has "active" (i.e., not formally
withdrawn) Notification or Part A status for activities
not occurring in reporting year (directs appropriate sites
to Regulatory Status form).
Form RS; Regulatory Status
Indicate whether site was a RCRA small quantity generator,
a RCRA conditionally exempt small quantity generator, or a
generated regulated under state quantity limits.
~ Indicate whether specifically excluded wastes were generated
or processed at the site.
Indicate whether the site has ever generated or processed
hazardous wastes, if such wastes are expected to be generated
or processed in the future and, if not, why the site filed
a Notification or Part A.
Form WD: Waste Description
-- Describe all hazardous wastes generated, shipped, received,
or processed during the reporting year.
-- Establish reference number for use on remaining forms.
Processors provide extended characterization.
Form P6; Primary Waste Generation
Quantify all hazardous wastes generated from primary
processes during the reporting year (excludes hazardous
wastes generated as a result of hazardous waste processing
operations (e.g., incinerator ash from FOOD).
Reference wastes described on Form WD.
-- Provide comparable quantities for previous year to assess
waste minimization.
Describe industrial process(is) or other process(is) that
generate hazardous wastes.
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Provide production ratio(s) for hazardous waste generating
operations.
-- Indicate changes in toxicity and reasons for changes in
toxicity or volumes from previous year.
-- Indicate management sequence for waste (general codes for
generators; detailed codes for processors).
Form WM; Waste Minimization
-- Answer Yes/No and Multiple Choice questions about waste
minimization efforts and activities at the site.
Form SO; Waste Shipped Off-Site
-- Reference wastes described on Form WD.
-- Report quantity shipped or to be shipped, ID number of
receiving facility, number of shipments, transport mode,
transport container, and off-site management sequence
(general codes).
Form RO; Waste Received From Off-Site
-- Reference wastes described on Form WD.
Report quantity received, ID number of generator, number
of shipments received, and on-site management sequence
(detailed codes).
Form 01: Off-Site Identification
-- Indicate the name, location, and ID number for each facility
that hazardous wastes were shipped to, or generator hazardous
wastes were received from, and the site's relationship to the
generator/faci1ity.
indicate ID numbers and name only for all transporters used
during the reporting year.
Form PS; Waste Management Process Summary
Describe all existing hazardous waste management processes
(including RCRA-exempt processes that handle hazardous wastes
but not including accumulation tanks or containers).
Report remaining capacities for each process (different.
formats for storage, single unit treatment, multiple unit
processes, and landfills), and indicate limiting factors
affecting calculation.
Describe planned changes in process capacity, and indicate
when changes are expected to occur.
Quantify and generally describe total influents to process;
indicate percent hazardous.
-- Quantify and generally describe non-hazardous effluents from
process.
Quantify and reference wastes described on Form WD that are
hazardous residuals from the process.
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The organization of the proposed form package is the result of
considerable deliberation. A number of alternative organizational approaches
were evaluated. Emphasis was placed on minimizing aggregate respondent burden
by grouping items common to specific classes of handlers together on the same
forms. Clarity in identifying which handlers are required to file and in
instructing respondents to the appropriate forms was also stressed. In
addition to addressing the functional specifications developed by the Advisory
Council, the development team considered ways in which the reporting forms
could be used to support State-specific reporting requirements, and be tied
into other existing reporting systems such as manifest reporting, waste
registration systems (as in Texas), etc.
The proposed set of reporting forms are distinguished from EPA's current
reporting forms in two significant ways: (1) there are a greater number of
data elements required to be reported; and (2) these data elements are spread
across a greater number of forms. The increase in the number of reportable
data elements is somewhat deceiving because many of the items that appear as
new questions or columns on the proposed forms were, in fact, required on the
existing forms in less formal ways. Many of the items on the Primary
Generation form, for example, describe the process that generated a hazardous
waste. While these items do not appear as formal elements in the existing
forms, a careful reading of the instructions to the narrative waste
description item will reveal that similar or identical information about the
process was asked for the waste description. Similar statements can be made
about many of the items on the Waste Description form and the Waste
Minimization form. Accordingly, the increase in the number of reportable
elements is not as great as the sheer increase in forms would suggest. Much
of the increase is a result of formalizing existing requirements to ensure
that the data obtained through these requirements are useful.
There is, nonetheless, an increase in the amount of information to be
reported in the proposed forms. There are two major reasons behind this
increase: a greater emphasis on supporting sound waste minimization analyses
(at both the site level and industry-wide); and the Advisory Council's
decision to expand the reporting system to support analyses of hazardous waste
processing capacities. Waste minimization is emerging as perhaps the key
issue to be addressed in the long-term development of the RCRA and other waste
management regulatory programs. Significant new legislation in this area, is
pending in Congress and in many state Legislatures. Accordingly, increasing
the waste minimization reporting requirements beyond the simple narrative
statement required for 1985 is clearly warranted. In addition to providing
necessary information to federal and state regulators, waste minimization
reporting can be helpful to the regulated community in demonstrating tne
results of their own efforts to reduce the quantity and toxicity of their
hazardous wastes.
The decision to expand the reporting system to support capacity
availability analyses was made largely in response to the new state capacity
certification requirements enacted in the Superfund Amendments and
Reauthorization Act (SARA). Previously, the RCRA reporting system dealt
primarily with the demand side of the capacity equation, focusing on
quantifying hazardous waste generation. With the increasing emphasis on
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knowledge of available processing capacities brought on by the SARA
requirements and the need to establish effective dates for land disposal
restrictions, the need for comparable information on the supply side of the
capacity equation became apparent. Obtaining data to support both sides of
the analysis from a single source, the RCRA reporting system has the
advantages of consistency in definitions and scope, efficiency in avoiding
duplication in reporting requirements, and convenience in analyzing data
already assembled into a single repository. Much of the expansion in the
number of reportable items results from the capacity concern.
Aside from the increases related to capacity and waste minimization
analyses, there are not a great many new reporting items in the proposed
forms. The organization of these reporting items has, however, changed
significantly. This change in organization is due to the need to include more
reporting items, but is driven primarily from concerns about'ambiguities that
result from the current organization. The two-form format represented by the
1985 forms lumps a number of functions together, resulting in substantial
difficulties in analyzing the reported data. Hazardous waste generation, for
example, is difficult to determine in many cases under the two-form format.
The current Generator form is in actuality a shipper form, since it addresses
primarily wastes that were shipped off-site during the reporting year. Not
all wastes shipped off-site during a reporting year were actually generated
during that year, but such wastes do show up in manifest tracking systems and
are reported currently as if they all were generated in the reporting year.
Additional generation quantities are reported on the current Facility form.
Here, however, hazardous waste generation that is actually "regeneration", or
generation resulting from the processing of already reporting hazardous
wastes, can not be distinguished, resulting in double, triple, and further
counting of waste quantities.
Accordingly, a premium was placed on designing the new forms to clearly
quantify "primary1 generation (all hazardous waste generation except that
generated as treatment or other residuals from hazardous waste processing
operations). Waste shipments and receipts are reported separately to avoid
confusion over what quantities were actually generated at a site. Previously,
these functions were all combined.
A second organizational area that distinguishes the proposed forms from
the 1985 forms is in how waste processing operations are reported. The 1985
forms lump processing and generation together under a single quantification,
resulting in an inability to quantify actual processing quantities. Much
extrapolation is currently required to perform comparisons of quantities of
hazardous wastes land disposed vs. quantities treated in incinerators, etc.
The proposed forms address this concern, pursuant to the Advisory Council's
guidance, by obtaining quantities of hazardous wastes processed in-total for
each process. Processing patterns for individual generated hazardous wastes
are reported as a sequence of codes associated with the total quantity of the
waste generated during the reporting year. These two items allow for waste
management by process for different types or different generators of hazardous
waste, and enable aggregate comparison of the utilization of different types
of processing techniques.
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The item that most clearly distinguishes the proposed forms from the 1985
forms is the waste referencing system built into the proposed forms. All
wastes managed at a site are described in one place, the Waste Description
form, and are then referenced by Waste Description form page and line number
on the Primary Generation form (if any of the waste was generated from primary
processes at the site), the Waste Shipped Off-site form (if any quantity of
the waste was shipped off-site during the reporting year), the Received From
Off-site form (if any of the waste was received from off-site), and the
Process Summary form (if any of the waste was generated as a result of
hazardous waste processing operations). Use of a referencing system has a
number of advantages over the current system. One major advantage is that
facilities that manage similar or identical wastes from many different sources
or customers need only describe the waste once. The waste is then simply
referenced when identifying the quantities received from each generator.
Solvent processors that deal with numerous customers are prevented in this way
from having to repeat descriptions of largely identical wastes. Commercial
disposal facilities that receive similar wastes from different sources will
also benefit from the adoption of a referencing system. The referencing
system is necessary for greater clarity in distinguishing quantities generated
from those shipped or received. Currently, a single quantity identifies
generation and shipment. Under the referencing approach, the actual quantity
of a waste that was generated at the site is reported in one place, the
quantity of the same waste that was shipped off-site during the reporting year
is reported in another. These two quantities are frequently not identical, as
quantities shipped may include quantities that were generated in previous
years, and all of the waste that was generated -during the year may not have
actually been shipped off-site during the year. Under the referencing
approach, these quantities are each linked to single place where the waste
stream is fully described. The referencing system avoids the need to repeat
waste descriptions whenever different management operations associated with
the waste are described. In this way the referencing system has enabled the
proposed reporting forms to be printed on standard 8.5 by 11 inch paper.
The waste referencing system also has a long-term advantage in that it can
be related easily to separate waste reporting systems. In the State of Texas,
for example, where generators are required to "register" their hazardous
wastes with the State by providing extensive descriptions and
characterizations, the waste referencing system could simply reference the
State-assigned waste registration number, provided that the wastes generated
or otherwise managed at the site still fit the descriptions submitted
previously to the State. EPA is currently investigating the need for a RCRA
testing rule that would require development of the same kinds of data that are
required to be reported under the new forms. To the extent that such rules
take effect, characterizations developed in accordance with them may simply be
referenced, not repeated in each year's Annual or Biennial Report.
The waste referencing system also enables states to obtain information
beyond that required in the proposed forms by developing additional forms of
their own and including the waste referencing item, as opposed to redesigning
the proposed forms to build in their own items. In this way, for example, the
State of Washington can require handlers to report the quantities of each
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waste shipment, including reporting the manifest number of each shipment and
any additional data that are not already known from items that appear on the
proposed forms. The sum of the quantities shipped over the year to each
different facility, as well as the total number of shipments, should equal the
numbers reported by the handlers on the proposed Waste Shipped Off-site form,
enabling easy checks on the accuracy of the State-required data.
Recognizing that adoption of a referencing mechanism adds a degree of
complexity to the reporting requirements, emphasis is placed on making it easy
for handlers to use. The page and line number approach minimizes the
likelihood of reporting error, since the only variable that is not actually
preprinted on the form is the Waste Description form page number (this is
because only one page of each form type is expected to be included in State
raailouts; handler will make copies of multiple page forms). Accordingly, the
waste referencing system is seen as a significant enhancement of the reporting
system, easing respondent and processing (reduced key-entry) burdens and
providing links to other existing and future state-specific reporting
requirements, all without increasing the likelihood of respondent error.
Another distinguishing feature of the proposed reporting forms over the
1985 forms is that managers of facilities that process hazardous wastes are
asked to provide more waste characterization information than are handlers
that simply generate hazardous wastes and ship them off-site. The rationale
for this distinction is that operators of waste processing operations are more
likely to have the desired data on hand for reporting purposes than are those
who generate only. Most commercial facilities require substantial waste
characterization information to be developed prior to processing the wastes
they receive. On-site managers need to ensure that the wastes flowing through
their processes meet their design or permit requirements. Concern over the
quality of information reported suggested that the extended characterization
items be obtained only from those most able to provide them, the facility
managers. On the other hand, information about the processes responsible for
generating hazardous wastes (except for hazardous wastes regenerated from
hazardous waste processing operations) is obtained only from the generators,
not from facilities that only manage other handlers' wastes. A similar
distinction in generator vs. facility reporting is made in the description of
the processing sequence applied to a waste. Currently, the federal forms do
not require generators to supply any information about what happens to the
wastes they generate other than to identify the facility to which their waste
was shipped. Facility operators were only required to report the final
disposition of the wastes they managed. Under the proposed reporting forms,
generators are asked to report in general terms what they expect to happen to
the wastes they ship off-site (similar to the New York requirements), and
facility managers are asked to report the actual sequence of management
processes, using more detailed codes, that were applied to the wastes they
managed. The distinction between generator and facility reporting here is
based on assessments that generators are less likely to know the details of
the waste management process, but ought to know the ultimate disposition of
the waste they generate, while facility operators can reasonably be expected
to report the actual processes that they applied to the wastes they manage
(note, however, that pursuant to the Advisory Council's guidance, facility
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managers need only report the sequence of management process codes and do not
have to identify the quantities of each waste as it enters each subsequent
process).
State and EPA Regional Office processing burdens were also considered
extensively in the design of the reporting forms package. The forms are
designed to be accompanied by computer-generated mailing and site location
labels. The mailing label is affixed to the outgoing envelope. The location
labels are to be affixed by handlers to any forms they are required to
complete. The handler Identification and Certification form is designed to
minimize implementor data entry by asking first whether the information
included on each label type is correct. Only data that are incorrect on the
labels need be reported by handlers and entered by implementors. Bar-coding
the RCRA identification numbers on these labels is being investigated to
further ease processing burden through the use of optical character readers
and wands. Furthermore, having handlers affix preprinted labels on each page
of their report reduces respondent burden and the likelihood of errors in
either reporting or key-entering RCRA identification information. Use of the
labeling system will make it easier for implementors to process the large
volume of reports from small quantity generators who, unless instructed to
complete further reporting by their State (as in New York), are required only
to complete the Identification, Form Selection, and Regulatory Status forms.
For this large group of respondents, the only data that will need to be
key-entered if existing data are correct are the site's RCRA ID number (which
may be optically read) and less than ten Yes/No answers requiring single key
strokes for entry.
The final significant difference between the proposed forms and the 1985
forms is that handlers that process hazardous wastes in units or processes
that are exempt from RCRA permitting requirements (e.g., NPDES-permitted tank
treatment of hazardous wastes) are none the less required to report
information about such processes and the hazardous wastes they manage in such
processes. The rationale for this requirement is that exempt processes account
for the management of large quantities of generated hazardous wastes (see
Figure 1). It is important that these quantities be reported in determining
the total quantity of hazardous wastes generated, and that the management of
these large quantities be properly accounted for in the hazardous waste
system. Under the proposed system, all wastes that meet the definitions of
hazardous wastes are reported, even if they are subsequently managed in
processes exempt from RCRA permitting requirements, enabling for the first
time a complete assessment of the nature and scope of the entire hazardous
waste system. Exempt processes are clearly identified, as are the wastes that
flow through them. Concerns over the large volumes of wastewater that are
frequently reported as hazardous wastes are also addressed in this manner,
allowing for separation of these quantities and processes in reporting
hazardous waste information to Congress, legislatures, and the public.
The form package divides instructions into a separate booklet. This
allows handlers to refer to instructions or definitions without turning away
from the form they are working on, easing respondent burden. All terms that
might require definition are printed in italics and formal definitions are
included in the instructions. A conservative approach was taken here: when in
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doubt about the familiarity of a term, the term is defined.
The reporting form design team recognized that implementation of the
proposed reporting forms during the 1987 reporting cycle would present
problems due to the lack of prior notice to handlers as to what would be
required to be reported. Some of this concern is addressed in differentiating
generator and facility reporting requirements, asking for necessary data only
from those most likely to have it without prior notice. The report forms also
allow handlers to report data at many different levels of aggregation, even
though the data are desired at specified levels of disaggregation. If, for
example, waste quantities at a site can not be broken out by individual
generating process for 1987, waste quantities can be grouped up to whatever
level of detail the site can report. Economic activity information associated
with the generating processes, required to evaluate changes in generation from
those same processes, would then also be aggregated to the same level as the
waste quantities, ensuring consistency in the reported data.
Nonetheless, it is expected that many handlers will not be able to
complete certain items included in the proposed forms for the 1987 reporting
cycle. The elements included, however, represent the elements deemed
necessary to support sound regulatory analyses and management of the
regulatory program, within the guidance parameters specified by the Advisory
Council. These are the items that are needed now and in the future.
Including them on the 1987 forms is an effective way of communicating the
reporting requirements to the regulated community, so that in the future,
required data will be available from existing records maintained by handlers.
The 1987 reporting cycle is also a testing cycle for the revised reporting
system, so it is desirable to include all elements that are anticipated to
comprise the system during the test phase. NGA and the report form design
team will, however, work with industry groups during the month prior to the
next meetings of the Advisory Council to better assess the acceptability of
the proposed forms.
D. .IMPLEMENTATION OF THE REVISED FORMS
Use of the revised reporting forms is meant to be voluntary during the
1987 reporting cycle for all non-authorized states and mandatory in 1989 (1988
if an annual reporting cycle is adopted), thus providing a field test of the
revised standard EPA forms. A recent NGA survey indicated that 25 states were
interested in using the revised forms during the 1987 reporting cycle, the
final number being dependent upon their complexity and eventual date of
availability. Many other states would have opted to use the forms during the
first year, but because of the need for possible changes in State regulations
were unable to do so.
Few problems are anticipated in the ability of the respondent to fill out
the revised forms. The Form Selection questionnaire (Form FS) should help to
clarify and properly direct the respondents to those forms which must be
filled out and, thus, should reduce any confusion in this regard.
Additionally, the detail provided in the Regulatory Status questionnaire (.Form
RS) should allow the handler to readily determine those forms that apply to
their site.
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Small facilities may have some difficulty in completing the detail on
processes, waste characterization, and available treatment, storage, and
disposal capacity. If they are unable to provide this information, certain
gaps will exist in the national data base being developed but this will mainly
be with respect to the level of detail. The forms have been developed so
that, at the very least, the more aggregate information will still be
available at the national level. Through the use of statistical techniques
and recent survey data, it will be possible to fill-out the missing data.
E. REQUIRED REGULATORY CHANGES
With regard to generators, only active, large quantity generators are
subject to the biennial reporting requirements under the present regulations.
However, the alternative selected for the Regulatory Status section also
requires that small quantity generators (SQG's) and inactive generators
(including conditionally exempt SQG's) with ID numbers to file the Regulatory
Status section of this report.
This additional reporting requirement for small quantity and inactive
generators could, legally, be implemented through the use of Section 3007 of
RCRA which requires all generators and handlers to provide information on
hazardous waste activity when requested by the Agency. EPA has used this
authority to conduct a variety of surveys. It was also the authority cited in
the 1985 Mail Survey. A similar approach would be to use 40 CFR 262.43, which
allows the Administrator to request that generators furnish additional
information on the generation and deposition of hazardous wastes. Small
quantity generators are subject to this requirement even though they are
exempt from the Biennial Report under 261.44. The advantage of invoking
Section 3007 of RCRA or 40 CFR 262.43 is that the time requirements are much
shorter than is the case for a regulatory change. Given the tight time
constraints, this approach is advantageous for the 1987 Survey. The major
disadvantage of using 3007 of RCRA and 40 CFR 262.43 is that OMB approval
would be needed each year the Biennial Report survey is conducted. 40 CFR
262.43 has the additional disadvantage that it may not apply to conditionally
exempt small quantity generators since they are not subject to Part 262 of
RCRA.
Because of the disadvantages of using Section 3007 or 262.43 on an annual
or biennial basis, a regulatory change would be desirable for the 1989 and
subsequent surveys. One approach for such a change would be to expand the
special reporting requirements of small quantity generators, outlined in 40
CFR 262.44, to include the Biennial Report. However, generators with EPA ID'S
who are inactive or who are conditionally exempt small quantity generators,
during a survey year, would still be exempt from the Biennial Report in those
years that these conditions apply. Thus, a better approach would be to alter
40 CFR 262.12 which covers notification of generation activities. As 262.12
presently reads, this notification is required only once, at the time of
obtaining an EPA ID number. An additional requirement could be added to
262.12 requiring annual/biennial notification of regulatory status for all
generators with an EPA ID number. The Annual/Biennial Report could be the
stipulated vehicle for accomplishing this requirement.
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With regard to TSD facilities, Part 264.75 (and 265.75) is not clear if
these facilities are required to file a Biennial Report for a survey year in
which they are inactive. Consequently, a regulatory change would likely be
necessary to clarify the reporting requirements for these sites. However,
given the tight time constraints for the 1987 survey, use of Section 3007 of
RCRA would likely be necessary to clarify the reporting requirements of
inactive TSD facilities.
F. OUTLINE OF THE REPORT
Each of the five information areas identified by the Advisory Council is
addressed in a separate chapter of this background paper. Each discusses the
rationale of staff in responding to the guidance provided by the Advisory
Council, along with the legal requirements for the information sought, policy
options from which the pertinent questionnaire section was selected,
information required to address the policy issues, and the usefulness of
relevant data which is currently available. Each chapter also provides a
description of the proposed form section, sample outputs and analyses planned
for the data, and perceived advantages and disadvantages of the proposed form.
In addition to this introduction, the outline of the report is as
follows. Chapter 2 discusses regulatory status, Chapter 3 discusses waste and
process tracking, Chapter 4 discusses waste characterization, Chapter 5
discusses capacity assessment, and Chapter 6 waste minimization. Finally,
Chapter 7 provides a discussion of the data processing system being proposed
and several issues that require the attention of the Advisory Council. A
series of Appendices are also included in this report including copies of the
revised draft forms and instructions, data flow diagrams, and a project
management plan for development of the reporting data system.
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CHAPTER 2
REGULATORY STATUS
A. INTRODUCTION AND OVERVIEW
The regulatory status section of the biennial report form serves the
following two major objectives:'
To establish that regulated activities were actually conducted at
reporting sites during the survey year, and to signal to these
sites that they must answer all applicable parts of the biennial
report.
To identify reasons why inactive (including small quantity)
generators and/or facilities did not, during the reporting year,
conduct specific regulated activities listed in Notification Forms
or Permit applications for their site.
A secondary but still important objective of including a regulatory status
section in the biennial report is to clarify who is subject to the reporting
requirements in any new year. Such clarification is important to members of
the regulated community, as they must determine reporting responsibilities,
and also to State and Federal officials, who are responsible for enforcing the
reporting requirements. A well designed Regulatory Status section could
provide useful information on the nature and scope of the regulated community
as a simple by-product of instructing the members of that community on what
forms, if any, they are required to file for the reporting year.
This chapter describes the staff's approach to accomplishing the above
objectives. A draft form is presented (in the Appendix), sample outputs are
shown, and the uses of these data are discussed in detail. This discussion,
however, is preceded by several sections which present the rationale for
collecting regulatory status information. The topics covered include
administrative requirements for the data, optional approaches, data and
information requirements, and the usefulness of currently available data
sources.
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA
State and Federal managers of the RCRA hazardous waste regulatory programs
have a need to describe the numbers and types of handlers subject to Subtitle
C regulatory requirements. These data are primary inputs to program planning,
implementation (including enforcement) and evaluation activities.
All of the existing data sources, however, are inadequate to satisfy this
need. The inadequacy of the data sources is discussed in detail in Section
E. But in general, the major drawback of the existing data sources is that
they are incomplete, inconsistent, and not updated routinely. These
shortcoming are further compounded by the fact that some sites have differing
levels of hazardous waste activity from year to year, which can change a
site's status under the regulation's. Additionally, in the early days of the
RCRA program, many sites that did not need to file, filed protectively. Not
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all of these sites have been removed from the existing HWDMS data bases.
As a result of these shortcomings, State and Federal managers are
generally hard-pressed to report the number of sites at which regulated
hazardous waste generation activities are actually occurring in any given
year. While the situation is somewhat improved when describing the facility
population, due to the greater degree of scrutiny applied to this subset and
the more rigid requirements governing regulatory status (e.g., facilities
continue to be regulated until formal closure proceedings have been conducted
and specific reports filed), difficulty persists in distinguishing between
allowed activities and activities actually conducted. The lack of a clear,
current picture of which types of regulated activities are occurring
complicates program planning, implementation (including program enforcement),
and evaluation activities at both the State and Federal levels.
The annual/biennial reporting system offers an opportunity to augment the
data describing allowed activities with reports on activities actually
conducted during the reporting year. This information, combined with a
regulatory status section, which carefully questions a respondent on why their
site is exempt from the biennial reporting requirements, will result in more
accurate, up-to-date counts of the population regulated under Subtitle C
requirements. It will also help determine which facilities should not be
included as part of the regulatory system and allow them to be removed from
the list of regulated facilities. Additionally, RCRA program managers can
distinguish between inactive and active sites, and determine if an inactive
site will remain inactive. This improvement in data accuracy and quality will
help State and Federal managers to better plan their RCRA regulatory programs.
Additionally, if the regulatory status section is carefully structured, it
will provide a mechanism for assessing compliance with the reporting system
and also serve to instruct respondents on what their reporting requirements
are under RCRA.
In summary, data on regulatory status can provide answers to the following
policy questions:
How many sites were subject to regulation in the survey year?
Which sites were active during the survey year?
e Which sites should be removed from the regulatory program?
Are sites correctly complying with the reporting requirements?
C. POLICY OPTIONS
This section briefly summarizes options which were considered as possible
approaches to designing the Regulatory Status section and discussed in the
paper presented at the Advisory Council meeting in May. The two major issues
addressed in developing regulatory status options were:
1. What populations, within the universe of handlers subject to
regulation under Subtitle C, should be required to comply with
annual/biennial reporting requirements?
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2. What information should be required for submission by various
populations that are required to comply with the reporting.
With regard to the first issue, the broadest spectrum of populations
considered required reporting by all entities that are required to obtain or
have ever obtained EPA identification numbers under RCRA. The narrowest
spectrum of populations considered required reporting by only active large
quantity generators. The two reporting options considered were full reporting
(i.e., completes all applicable quantity sections) and regulatory status
reporting (i.e., reports regulatory status, only). These range of
population/reporting options were combined such that six alternatives were
developed for generators and two were developed for facilities. These
alternatives are summarized in Table 2-1.
Alternative 2 was chosen for generators, requiring reporting from all
sites which have an EPA ID number. Large quantity generators must complete
the entire set of forms while small quantity and inactive generators with an
EPA ID number need complete only the Regulatory Status form. This alternative
provides critical information on small quantity generators and inactive
generators without subjecting them to the much more burdensome quantity
reporting. As such, this alternative represents the best compromise between:
(1) minimizing the reporting burden for respondents, states, and regions, and
(2) data availability for RCRA program managers. An additional advantage of
Alternative 2 is that it provides those states that want quantity information
from small quantity generators with the flexibility to obtain this information.
Alternative 1 was chosen as the alternative for treatment, storage, and
disposal facilities because, of the two options examined, it provides the most
complete information towards answering the policy issues raised in Section B.
Additionally, it does not represent an increased reporting and processing
burden either to the regulated population or to the states, because it is the
approach used for the 1985 report.
D. DATA AND INFORMATION REQUIREMENTS
The main purpose of the Regulatory Status form is to determine why a site
did not fill out the detailed "waste handling" sections of the Biennial
Report. The regulatory section can indicate which sites: (1) should be
removed from the regulatory programs (e.g., non-generators and non-handlers);
(2) are periodic or one time generators; and 13) are subject to regulation
but are not required to report. As such, the regulatory status section must
cover the main reasons why a site is not providing information on the
generation and handling of hazardous waste. To assure that respondents
properly choose the options which correctly describe their reasons for not
filing, the options listed in the regulatory status section must be carefully
organized and worded. The selections must also clearly reflect the
requirements and intent of the RCRA regulations.
To this end, six main reasons why a site would be exempted from providing
detailed waste handling information were initially developed as follows:
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Table 2-1
ALTERNATIVES DEVELOPED FOR PREVIOUS
ADVISORY COUNCIL MEETING
(May 1987)
Generators Reporting System Alternatives
Generator
Population Group
Inactive
Large Quantity RSR
Small Quantity RSR
Alternatives
Active
Large -Quantity
Small Quantity
CA
TX
FR
FR
FL
OR
FR
RSR
NY and
NJ
FR
FR
FR
RSR
EPA,
1985
FR
--
._
~
FR
RSR
RSR
RSR
Facility Reporting System Alternatives
Facility
Population Group
Alternatives
Active
Inactive
FR
RSR
FR
Notes: FR Full reporting required (Regulatory Status sections and any
applicable "Quantity" sections).
RSR » Only Regulatory Status Section is required to be completed.
-- No Reporting Required.
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2-5
The site meets the requirements of a small quantity generator or
conditionally exempt small quantity generator;
The site generates/processes only excluded or delisted or wastes;
The site has never generated/processed hazardous waste;
The site has stopped previous hazardous waste activities;
The site is a periodic or intermittent generator/processor
of hazardous waste; and
The site has never generated/processed hazardous waste, but
intends to in the future.
Under each topic a series of more detailed, selections were developed
which help answer the policy questions raised in Section B: (1) how many
regulated sites exist, (2) which sites are active, (3) which sites no longer
belong in the regulatory system, and (4) are sites properly complying with the
reporting requirements? To help answer the fourth question, a form selection
section was added to regulatory status, which through a series of brief "yes"
and "no" questions directs the respondents to those forms which they must
complete. Additionally, it provides EPA and the states with enough
information to determine if respondents are completing the proper sections of
the form.
E. USEFULNESS OF CURRENT DATA
There are three major sources of regulatory status information: (1)
Hazardous Waste Data Management System (HWDMS); (2) 1981 Mail Survey; and (3)
State Uniform Manifest Systems. HWDMS is a large data base maintained by the
Office of Solid Waste (OSW), containing information on sites regulated by
RCRA. It includes several fields, which can be used together, to describe
regulatory status. These indicators were utilized to develop the sample
survey used as a cross-check of 1985 Biennial Report data. A major
disadvantage of using these data fields for regulatory status is that they are
not applied uniformly across states and regions. Additionally, this
information is not available for all sites and it is not always complete for
those sites which do have regulatory status information. This lack of
completeness and consistency makes it difficult to answer the type of policy
issues raised above. Also, there is no well developed mechanism to change the
data in these fields to reflect a site's status change through time. A
modification to this information occurs only through closure and the rare case
where a site happens to file a modification.
The data from the "Notification of Hazardous Waste Activity Form" (EPA
Form 8700-12) is a subset of HWDMS. This form must be completed by all sites
handling regulated quantities of hazardous waste. The notification form does
provide some information on regulatory status, but these forms are typically
not updated. Consequently, they provide a static, outdated picture of the
status of generators and facilities.
Data from Part A and Part B applications are also part of HWDMS. These
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applications apply only to treatment, storage and disposal facilities, and
thus, do not provide information on the status of generators. Another
disadvantage of the permit information is that it reflects what activities are
allowed to occur at sites, and often overstates or otherwise fails to describe
the activities that are actually occurring at those sites. As such, the
information does not address the distinctions necessary to completely answer
the policy questions raised in Section B above. Additionally, when filling
out a Part A application, facilities sometimes file protectively by reporting
activities that they may initiate in the future rather than reporting what
actually exists. Although inspections have helped to distinguish between
expected and actual activities, the bulk of the Part A applications have not
been verified with an inspection.
The 1981 Mail Survey probably does the best job of reporting regulatory
status, since a series of detailed questions addressing this issue were
included on this form. However, only a statistical sample of generators and
facilities were surveyed. Consequently, such data are available for only a
subset of the sites and, as such can not fully answer the policy questions
raised in Section B. Additionally, this survey provides information on 1981
activities, only. Consequently, while useful from a historical prospective,
it cannot accurately answer questions on current regulatory status.
The Uniform Manifest System provides information on hazardous wastes which
are transported off-site and it does provide a way to determine active
facilities and generators, who are transporting waste off-site for treatment
and disposal. However, when a site does not transport hazardous waste
off-site or receive it, the manifest system does not provide a way to
determine why a site is or has become inactive (e.g., one time
generator/handler; stopped hazardous waste activities; all hazardous wastes
were delisted). Additionally, there isn't a direct method of distinguishing
inactive sites from generators who handle their hazardous waste totally
on-site, without cross-checking with past history and permit applications.
F. DESCRIPTION OF THE PROPOSED FORM
The regulatory status portion of the Biennial Report will consist of two
forms. The first, Form Selection (FS), uses a series of brief "yes/no
questions to direct respondents to those parts of the Biennial Report that
they must complete. The second section, Regulatory Status (RS), is answered
by only those facilities which are not subject to quantity reporting, and it
serves to determine specifically why a facility is not providing quantity
information. This two-staged approach to regulatory status was used, because,
as was explained in detail in the background paper presented at the April 30tn
meeting, the following two questions are integral to describing regulatory
status? (1) who must report, and (2) what must be reported. Rather than use
the 1985 survey's approach of allowing respondents to develop and answer these
questions for themselves, a more structured approach is proposed which wants
the respondent through a series of questions that are key to determining a
site's reporting status and what must be reported for that site. is
approach has the following three advantages in that it provides:
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2-7
(1) more control over (a) who provides quantity and handling
information, (b) what is reported, and (c) where this
information is reported,
(2) a clear and straight forward mechanism for respondents to
determine what they must fill out; and
(3) a mechanism for helping RCRA program managers assess if sites
are properly complying with the reporting requirements.
The Form Selection (FS) and Regulatory Status (RS) forms are presented in
Appendix A. The contents of each section are discussed in separate
subsections below.
1. Form Selection
As was stated above, the Form Selection form makes it clear who must file
quantity information and directs the respondent to those forms of the report
which must be filled out. To resolve the issue of who must file, the Form
Selection section consists of three main questions. The first addresses
hazardous waste generation activities, the second addresses off-site shipment
of hazardous waste, and the third section addresses hazardous waste processing
(treatment, storage, recycling and disposal). Under each question are a
series of subquestions which serve to further delineate specific sections of
the form the respondent is required to complete. Below, the rationale for
each question is briefly discussed.
1. Question 1: During the reporting year, did this site generate
hazardous waste in sufficient quantities to be subject to Full RCRA
Regulation, and were at least some of these quantities generated from primary
sources?
The purpose of this question is to distinguish between large quantity
generators (LQGs) and all other generators (e.g., small quantity,
conditionally exempt, inactive, etc.) and it directs LQGs to those sections
dealing with generation.
2. Question 1A: During the reporting year, did this site generate
quantities or types of hazardous wastes subject to reporting only by this
state?
This question, which is considered optional, should be included by those
states who want quantity and handling information for generators who do not
meet the federal requirements for a LQG. A "yes" answer to this question will
allow an easy method for distinguishing between EPA LQGs and those generators
providing generation and handling information because the state they are
located in has more stringent requirements than those of the Federal
government.
3. Question IB: Has this site filed and nor formally withdrawn an EPA
Notification of Hazardous Activity form (EPA Form 8700-12) indicating
Generator or Snail Quantity Generator
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Sites which did not meet the reporting criteria outlined in Questions 1 or
1A, fill out regulatory status if in the past they have notified EPA of
hazardous waste generation activity. A respondent answering "yes" to this
question is directed to the Regulatory Status section which is designed to
determine why this site did not generate hazardous waste during the report
year even though its owner/operator has notified EPA of generation
activities. The information will help reconcile biennial report data with
other data sources as well as provide Federal and State RCRA program managers
with better estimates of the number of regulated generators for the report
year.
4. Question 2: During the reporting year, did this site ship regulated
hazardous wastes off site?
This question directs respondents, who ship hazardous waste off-site, to
fill out forms dealing with this activity. Off-site shipment is covered by a
separate set of forms and a separate question in Form Selection, not only to
obtain information on such shipments, but to deal with -the situation where a
site neither generated nor managed hazardous waste during the report year, but
did ship hazardous waste off-site. This information should help reconcile
generated waste estimates, from the biennial report, with manifested waste
estimates.
5. Question 3: During the reporting year, was any hazardous waste
processed at this site (including processing in exempt units)?
This question directs those sites, which processed hazardous waste during
the report year, to answer that section (Waste Management Process Summary) of
the report dealing with hazardous waste processing. Sites using only exempt
handling methods are also directed to this section. The rationale for
requiring reporting by these sites is dealt with in Chapter 3, which discusses
waste quantity and process tracking.
6. Question 5A: Did this site receive hazardous waste from off site?
This question directs respondents whose sites received wastes from
off-site during the survey year, to fill out forms dealing specifically with
this activity. The rationale for dealing with this topic on a separate form
is discussed in Chapter 3, which addresses waste quantity and process
tracking.
7. Question 3B: Does a hazardous waste management process (exempt or
nonexempt) exist at this site?
Only those sites that did not process hazardous waste during the report
year (i.e., answered no to Question 2) will answer the questions; it directs
respondents whose sites contain inactive hazardous waste processes to the
Waste Management Process Summary so that the status of these processes can be
tracked. The reasons for collecting this information and what the information
is intended for is discussed in Chapter 3, which covers waste quantity and
process tracking.
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8. Question 3Bi: Did this site file an EPA Part A - Permit Application
at any time in the past that has not been formally withdrawn?
This question's purpose is to have respondents, who have filled out Part A
applications in the past and who did not process hazardous waste during the
report year, fill out the Regulatory Status form. The Regulatory Status
section will help: (1) determine why the site did not process hazardous waste
during the survey year; (2) reconcile biennial report data with information
from other surveys; and (3) estimate more accurately the number of active TSD
facilities. As was discussed in Section B of this chapter, this latter
estimate is important to RCRA program planning, implementation, and evaluation
activities.
2. Regulatory Status
The purpose of the Regulatory Status forms is to determine why a site that
has notified EPA of hazardous waste activities (i.e., obtained an EPA ID)
and/or filed a Part A application, has either not generated regulated
quantities of hazardous waste or not processed hazardous waste during the
survey year. To this end, four major reasons why this situation might have
occurred were developed and are represented by the four questions which appear
on the form shown in Appendix A. After each question are several subquestions
which further specify why the site is exempt from quantity reporting. The
rationale for each of the four major questions is discussed below.
1. Question 1: Was this site a generator of hazardous wastes that was
not, during any single month of the reporting year, subject to full RCRA
regulation due to RoA small quantity rules and exemptions?
This question and its associated questions deal with quantity exemptions
and are designed to distinguish between small quantity generators and
conditionally exempt small quantity generators. This is also the section
where states can add additional subquestions if their quantity limitation for
conditional exempt small quantity generators and for small quantity generators
is different than those used by the EPA. The information provided by this
question and its subquestions is necessary to obtain an accurate count of
federally regulated facilities and to place generators within the proper
grouping relative to their status under federal and state hazardous waste
regulations. As the 1985 form is currently constructed, sites subject to the
Federal quantity exemption are sometimes difficult to distinguish from those
which are not subject to these exemptions.
2. Question 2: During the reporting year, did this site generate or
process wastes that are specifically excluded or exempted from regulation
under RCRA?
This question addresses wastes which have either been excluded from the
regulations or have been delisted. The subquestions distinguish among: (1J
wastes excluded by 261.4, (2) recyclable wastes excluded by 261.5a3; and 3)
wastes delisted under 260.20 and 260.22. Additionally, subquestions can be
added to delineate specific excluded or delisted wastes. Information on
excluded and delisted wastes is necessary because such wastes, in many cases,
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would be considered hazardous, although they have been exempted from
regulation. Consequently, they still are of concern, and this series of
questions allows tracking of these wastes for a minimal amount of reporting
burden. Thus, if a future assessment of these wastes is desired by the Agency
or Congress, information will be available.
3. Question 3: Did this site generate or process RCRA-regulated
hazardous wastes at some point prior to the beginning of the reporting year
and are such wastes not expected to be generated again in the future?
This question addresses sites which are past generators/processors of
hazardous waste, but that have stopped these activities and do not intend to
begin them again in the future. The four subquestions under this question
deal with the following four possibilities: (a) the generated/processed
hazardous waste was a one time event (e.g., spill clean up), (b) the site has
terminated its generation/processing activities but the site is still in
business, (c) same as "b," but the site is no longer in business, and (d) all
hazardous waste processes at the site are in closure or post-closure.
4. Question 4: Does this site expect to generate or process
RCRA-regulated hazardous wastes in the future?
This question in combination with information from Question 3 was included
to help delineate the following two situations:
Sites which are intermittent or periodic generator/processors of
hazardous waste -- .It is important to identify such sites because
RCRA program managers may not want to include these sites in all
analyses, since their handling levels fluctuate from year to year
causing over estimates for some years and under estimates in
others. Being able to identify such sites allows greater accuracy
of such estimates and allows RCRA program managers to know more
about the activities of sites which are not necessarily subject to
regulation each year.
Sites which have not as yet generated/processed hazardous waste,
but intend to in the future -- This information is important for
projecting future hazardous waste activities.
In addition, this question is designed to distinguish from all other
sites, those sites which have notified and/or filed a Part A, but have never
generated nor processed hazardous waste and have no intension of doing so in
the future. This distinction is necessary to identify those sites which
should not be included in the count of presently regulated sites nor should
they be included in RCRA program planning projections for the future.
G. SAMPLE OUTPUTS AND USES OF THE DATA
The types of questions the Regulatory Status section of the form are
designed to answer were listed in section B. Exemplary output are included in
Exhibits 2-1 through 2-8.
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EXHIBIT 2-1
PORTION OF NOTIFIERS THAT GENERATED RCRA-REGULATED
QUANTITIES OF HAZARDOUS WASTE IN 1981
41,641 Nonregulated
Notifiers (75%)
14.Q&8
Generator*
55.739 Notifiers
Source: HWDMS, 8-1-82
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EXHIBIT 2-2
Characteristics of Nonregulated Notifiers that
Responded to the Survey
Description Percent
Non-generators 43%
Potential Future Generators 18%
Small Quantity Generators 18%
100% Recyclers 4%
Recently Retired Generators 3%
Delisted Waste Generators 1%
Nonregulated Notifiers
NSK, NEC* 13%
Total . 100%
*NSK not specified by kind
NEC = not elsewhere classified
-------
REPOR-
ID NUMBER, NAME AND LOCATION
AK1210022I57
MASTER HANDLER RF
-- ---- LEGAL ------
REG BY DESCRIPTION
--- As REpORTED ---
REG BY DESCRIPTION
RILHARDBON 8
QENERATOR,
TSD,
TRANSPORTER, ~-
BURNER/BLENDER I OTHER
GT
BT
KG
KB
ELMENDORF AIR FORCE BASE, AK 99506-0069 TRANSPORTER, RCRA
BURNER/BLENDER, RCRA
USUOT-UB KODIAK SUPPORT CTR GENERATOR, STATE GT 1000 KB
ELMENFORF AFB TBD, DOTH
ELMENDUR" AIR FORCE BASE. AK 995*6-9*75 TRANSPORTER, RCRA COMMERCIAL
BURNER/BLENDER, BOTH -----------
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DATE
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12/30/86
12/30/86
12/30/86
12/30/86
12/30/86
12/30/86
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' CLEAR AFS, AK 99704-7041
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RE
UBAF CLEAR STATION
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13 HIBS1LE WARNING SQUADRON
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T04
-------
REPC
CAPACITY REP
UBARMY 172 INF BDE(AK) FORT GREELEY
LOCATION
CATHARINE BENEDIKTS8ON MANAGER
SOUTH OF DELTA JCT HUV 4
DELTA JUNCTION, AK 99737-4663
(907)862-0188
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801
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AKD0092S24B7 ALASKA LUMBER ft, PULP CO INC
AKD04345492S VAN WATERS ft RO8CM
AKD044SB9073 PHILLIPS PETROLEUM CO- HENRI
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18
-------
2-19
H. PROS AND CONS OF TOE PROPOSED SYSTEM
The pros and cons of the proposed system are listed below.
1. Pros
The respondent is provided with a detailed, clearly defined
set of options regarding exempt reporting status. This
approach helps prevent respondents from incorrectly claiming
exempt status because of misunderstanding the exemptions.
The detailed selections help solve some of the major problems
associated with the regulatory system including:
Reconciling information reported by other data sources
(Notification, Part A, other HWDMS data)
- Explaining why certain generators/facilities report in one
year and not in others.
-- Helping to identify nonreporters.
The form selection section walks the respondent through a
potentially difficult set of criteria to help them more easily
and correctly determine which sections of the biennial report
they must fill out. By making them provide answers to these
criteria, RCRA program managers can more readily assess
compliance with reporting requirements.
2. Cons
The regulatory status options are lengthy, causing an additional
reading burden for the respondent. However, the regulatory status
form has been structured through grouping the selections so that
the respondent only reads those regulatory options which most
likely apply to his site.
A greater reporting burden for generators and facilities, since
small quantity generators and inactive sites with EPA ID numbers
would be required to fill out the regulatory status section.
A greater processing burden for states, but this has been minimized
because of the structure of the form.
-------
CHAPTER 3
WASTE QUANTITY AND PROCESS TRACKING
A. INTRODUCTION AND OVERVIEW
Waste tracking refers to maintaining information on the generation (i.e.
the particular types of waste generated, the amount, where they were generated
and by whom) and management (i.e. the specific treatment, storage, and
disposal method used, the quantity handled by each method, and the location)
of wastes regulated as hazardous under RCRA. Information on where and in what
quantities wastes are generated, treated, stored, and disposed of is needed to
adequately define hazardous waste generation and management practices. This
information enables regulatory agencies to determine the personnel and
resources necessary to deal with current practices. It is also needed to
enforce the regulations and analyze their effectiveness. Waste tracking can
also be used to help identify areas that most need waste-minimization efforts,
determine the capacity for treatment, storage, and disposal of hazardous waste
in certain areas, and to identify communities and environments which could be
exposed to hazardous substances. Waste tracking information forms the basis
of hazardous waste regulatory programs. It also provides data to serve
congressional'and public oversight needs.
Different methods have been used by State governments to provide the
information needed to meet the goals described above. These sources of
information on waste tracking have included: registration of hazardous waste
generators, applications for permits to store, treat or dispose hazardous
waste, hazardous waste manifests, and periodic reports on the generation and
management of hazardous wastes.
Registrations and permit applications, however, describe only the
expectations of hazardous waste handlers, and are not accurate descriptors of
actual operations. Hazardous waste manifests provide for accurate tracking of
individual shipments of hazardous waste off-site, but do not track wastes
managed on-site. Nbnifest information also does not always provide a readily
followed trail of the final destination or disposal of the shipped waste.
Despite the value of individual shipment data, many state governments are now
augmenting manifest information with periodic (monthly, quarterly, annual, or
Biennial) reports from generators and treatment, storage, and disposal (JSDJ
facilities.
For EPA, the primary source of information for tracking wastes has been
the biennial reporting system. This system currently uses two questionnaires
-- one for generators who send their waste off-site for treatment, storage, or
disposal, and a second for owners and operators of TSD facilities. Both
questionnaires require information on the identity and location of the
generator or the TSD facility, including the EPA identification number, the
facility name, mailing address, and location, and the name and telephone
number of a contact person. The questionnaires require waste identification
by RCRA waste codes for each reported waste or waste mixture, and the amount
of each waste. Generators must supply the identity of the TSD facility to
which the waste was shipped, and TSD facilities must provide the same
information on each generator from which waste was received. The TSD
-------
3-2
questionnaire also requires a description of the final methods used for
treatment, storage, and disposal. A list of applicable handling method codes
is provided for this purpose.
While the existing annual/biennial reporting system enables one to track
the origin and destination of most hazardous wastes, the descriptions of
handling methods are inadequate to fully describe the treatment and disposal
of wastes. The list of handling method codes is simplistic and duplicative:
there is no requirement for TSD facilities to describe the application of
preliminary and intermediate hazardous waste treatment methods; the
instructions for reporting hazardous residuals from treatment methods as newly
generated hazardous wastes are unclear; and generators are not required to
state their understanding of the basic treatment and disposal methods applied
to wastes they ship off-site -- with the result being, that there is no
reference means for confirming the reports of applied handling methods
submitted by TSD facilities which receive the wastes.
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA
RCRA states that if waste is generated, it should be "treated, stored, or
disposed of so as to minimize the present and future threat to human health
and the environment". Waste tracking is required to define these management
practices for each waste. Standards applicable to generators of hazardous
waste (40 CFR Part 262) require that a generator who ships his hazardous waste
off-site must prepare and submit a single copy of the Biennial Report to the
Regional Administrator by March 1 of each even-numbered year. The generator
Biennial Report must include waste identification by the RCRA waste codes
(from 40 CFR Part 261, Subpart C or D), transporter information and quantities
(with units of measure) for each waste shipped off-site to a TSD facility.
Regulations (40 CFR Part 264) for owners and operators of hazardous waste
treatment, storage, and disposal facilities also require that the owner or
operator must prepare a Biennial Report.
The Hazardous and Solid Waste Amendments of 1984 (HSWA) of RCRA require
current data, as soon as feasible, on the availability of capacity at TSDs to
manage particular types of wastes using particular types of technologies and
process methods. Although this data is being compiled by EPA through national
TSD Facility and Generator Surveys, the information obtained represents
selected, one-time samples. It should be updated through regular periodic
reports from the full population of waste handlers in the following years.
EPA's long list of hazardous waste rulemaking responsibilities as defined
by specific Congressional mandates include such important subjects as: land
disposal restrictions, revisions to tank permitting standards, accumulation
tank standards, best demonstrated available technology (BDAT) standards,
revisions to underground injection well standards, and air emission
regulations. Prior to rulemaking in these and other related subject areas
both now and in the future, EPA needs technical information upon which to base
regulatory options and associated regulations. To meet these responsibilities
EPA must regularly upgrade and update waste tracking information.
-------
3-3
Legislation has already mandated environmental agencies in several states
to conduct statewide hazardous waste management studies and develop commercial
treatment facility plans. Typically, these state regulations have required
the following steps to be taken: (1) complete a comprehensive inventory of
the types and quantities of wastes currently generated; (2) forecast hazardous
waste generation in the future; (3) conduct a capacity assessment of existing
and planned treatment, storage, and disposal facilities; and (4) determine
capacity shortfalls. The states have used manifest data, generator and
facility annual reports, permit applications, and surveys to complete these
studies. Many of these state plans have to be updated now, and the
annual/biennial reporting system can become a primary data source for this
purpose.
C. POLICY OPTIONS
Four alternative methods for tracking hazardous waste have been proposed.
These alternatives are: (1) maintain the current annual/biennial reporting
system, relying on limited waste handling information for each waste; (2)
request more detailed tracking information from both generator and TSD
facility for each waste, reported including full information on the sequences
of handling methods applied by TSD facilities, description by generators of
basic treatment and disposal practices to which wastes shipped off-site were
subjected, and identification of hazardous residuals resulting from treatment
methods; (3) request data similar to that of alternative two, except that
waste handling method quality information would be reported as aggregate
totals for wastes handled by specific treatment, storage, or disposal methods,
and not on an individual, wastestream-by-wastestream basis; or (4) greatly
simplify the existing annual/biennial reporting system by requiring only the
reporting of general handling methods (e.g., wastewater treatment, and
disposal, etc.) applied to individual waste streams.
The current annual/biennial reporting system, alternative one, has not
been able to provide sufficient data for waste tracking purposes, and the data
collected have not been reliable.
Alternative two would best meet the need for providing comprehensive and
reliable waste tracking information, and is recommended because of its
perceived ability to satisfy additional information needs. This alternative
could also solve the problems of unreliable and insufficient information
inherent in the current Biennial Report system.
The aggregate quantity information for specific handling methods that
could be developed by the use of alternative three would be useful for
preparing assessments of utilized and available waste handling capacity.
Chapter 5 of this report -- Capacity Assessment describes how Biennial
Reports can be used for TSD capacity analyses.
Alternative four could provide reliable data, but it would not be detailed
enough for anything but the simplest analytical uses.
D. DATA AND INFORMATION REQUIREMENTS
This section identifies the data elements required in Biennial Reports for
-------
3-4
adequate tracking of wastes. A justification for requiring each data element
is also provided. These data elements have been organized under the following
five data categories:
Data Category A - Waste Quantification;
Data Category B - Generator Identification;
Data Category C - TSD Facility Identification;
Data Category D - Waste Transport Description; and
Data Category E - Waste Management Methods.
In simple terms, these five data categories will answer the following
questions: "how much of" and "where" the wastes were generated; "where" and
"how" the wastes were managed; and "how" the wastes were transported, if there
was a shipment of waste off-site. While these questions are fairly
straightforward and can be directly answered, the practices of hazardous waste
generation and management vary so widely that accurate tracking of wastes
calls for careful selection and design of data elements in the five categories
mentioned above. The data elements selected for waste quantity and process
tracking, along with waste characterization data (Chapter 4), must be also
designed for use in TSD facility capacity assessment (Chapter 5) and in
evaluation of waste minimization (Chapter 6) efforts made by hazardous waste
generators.
1. Data Category A - Waste Quantification
This data category is fundamental to the tracking of hazardous wastes and
is the information most sought by hazardous waste management facilities,
regulators, planners and the concerned public. Six data elements must be
provided in this category:
Waste Identification
Amount of Primary Generation
Amount of Hazardous Waste Treatment Residuals
Amount of Wastes Shipped Off-site
Amount of Wastes Received from Off-site
Density of the Waste
Each of the data elements are described in the section below.
Waste Identification Each hazardous waste generated, and subsequently
handled at a TSD iaciiity must be accurately, and thoroughly identified for a
complete tracking of wastes. The existing RCRA waste codes identify hazardous
wastes by characteristic, source and/or hazardous constituents. Additional
descriptions of certain physical and chemical characteristics or hazardous
wastes are also required.
Amount of Primary Generation -- Hazardous waste generation during a year
due to manufacturing processes and other industrial operations should be
reported separate from hazardous treatment process residuals. These wastes
represent a basic demand for hazardous waste management capacity, which is
expected to vary directly with changes in industrial activities. Primary
hazardous waste generation data is the principal basis for planning
-------
3-5
public and private waste minimization efforts, and evaluating their
effectiveness.
Amount of Hazardous Waste Treatment Residuals -- A substantial fraction of
hazardouswastegenerationTsrepresented by treatment residuals from
management of other hazardous wastes. These wastes include, for example,
incinerator ash, aqueous hazardous waste treatment sludge, and residuals from
the closure or cleanup of hazardous waste management facilities. Certain of
the waste minimization options applicable for hazardous wastes from primary
generation sources (e.g., redesign of manufactured product, etc.) have little
or no direct application for the reduction of treatment process residuals,
while other options (e.g., process substitution, etc.) may be of even greater
significance for TSD facilities than for primary generators. By separating
hazardous waste generation information into the two, discrete populations,
waste minimization priorities and possibilities can be better highlighted. In
addition, by calling attention to hazardous residuals from treatment
processes, chances are increased that the full complement of hazardous waste
generation will be reported.
Amount of Wastes Shipped Off-site -- Hazardous wastes shipped off-site
represent a demand for commercial TSD facilities. This waste may include both
primary generation and hazardous waste treatment residuals.
Amount of Wastes Received from Off-site Individual wastes from
particular generators,should equalthe amount of wastes shipped off-site,
except for small discrepancies due to shipments during the end of either the
current or previous year. This data element is required for comparison with
the amount of wastes shipped off-site.
Density of Wastes -- The amount of wastes in the data elements mentioned
above should bereported in comparable units of measure, preferably by
weight. Many wastes, however, are liquids or sludges, and are commonly
quantified by volume. Waste density data (i.e., weight permit of volume) is
needed to allow for the conversion of reported waste volumes into
corresponding weight data. Only when this is done can comprehensive hazardous
waste totals be established.
2. Data Category B - Generator Identification
The following data elements must be provided for generator identification:
EPA Identification Number
Name of Generator
Street Address of Generator
Contact Name, title, and telephone number
SIC Code
Basic generator identification and location data (i.e.,EPA identification
number, name of generator, street address of generator) are needed as: (I)
reference information comparisons with reports of hazardous waste receipts
from TSD facilities; and (2) connector links with other RCRA hazardous waste
databases. Contact information is required so that follow-up inquiries can
-------
3-6
be made regarding reported data. SIC codes are significant for relating
hazardous waste generation to major industrial operations, and, thereby,
focusing attention on potential targets for waste minimization programs.
3. Data Category C - TSDR Facility Identification
The following data elements should be provided for TSDR facility
identification:
EPA Identification Number
Name of Facility
Street Address of Facility
Contact Details
SIC Code
These data elements will satisfy the same objectives as those stated for
generators, except that TSD identification and location data is needed as
reference information for comparisons with reports of wastes sent by
generators, and not with reports of wastes received.
4. Data Category D - Waste Transport Description
The following data elements must be provided for waste transport
description:
Mode of Transport
Number of Shipments
Type of Container
These data elements provide a framework for establishing the potential for
releases of hazardous substances to the environment during the shipment of
waste materials. Together, the three data elements describe the basic manner
in which hazardous wastes are shipped, and the frequency of shipment.
5. Data Category E - Waste Management Methods
Waste quantity tracking describes only the "influent" to TSDR facilities.
Waste management (treatment and recycling) often results in substantial
changes in the amount and characteristics of this waste. For example,
chemical oxidation of an aqueous hazardous waste containing cyanide will
result in the generation of a non-hazardous aqueous stream which can be
discharged as treated effluent. Therefore, some tracking of waste management
methods is required besides waste quantity tracking. The following data
elements are required for tracking wastes by treatment processes:
Sequence of Management Methods On-Site
Understanding of Management Methods Off-site
Sequence of Management Methods On-Site ~ The complete sequence of
management methods should be reported by TSD facilities for each waste managed
on-site. This sequence should identify the specific processes used 'for
treating or recycling each hazardous waste. Complete information describing
-------
3-7
each handling method applied to particular wastes, together with waste
quantity data, is an essential prerequisite for guiding investigations of the
possibility for harm that might result from hazardous waste management. Such
information is also needed for planning the staffing of regulatory agencies
and developing RCRA implementation strategies. Further uses are assessing the
utilization of available treatment and disposal capacity, and as a compendium
of practical waste management methods.
Understanding of Management Methods Off-site Generators cannot be
expected to know the complete sequences of treatment, storage and disposal
methods applied to wastes that they ship off-site, but they are responsible
for knowing the basic nature of how those wastes are managed and should have
no difficulty in reporting that knowledge. Such information can then be
compared with the sequences of processes described by receiving facilities.
E. USEFULNESS OF CURRENT DATA
Waste quantity and process tracking in the current biennial reporting
system has several major deficiencies. Most of these deficiencies are
illustrated by a case study involving hazardous wastewater treatment on-site.
Figure 3-1 shows the hazardous waste management methods as they existed in
1983. A'facility Biennial Report was submitted as shown in Table 3-1. The
facility Biennial Report requires a line entry for each hazardous waste
managed by a particular method. As shown in Figure 3-1, the facility
identified four management methods:
Storage in Tanks (S02)
Ammonia Stripping (Treatment in Tanks) T01
Chemical Precipitation (Treatment in Tanks) -- T01
Disposal in Surface Impoundments -- S04
The facility identified four wastes -- two wastes treated by chemical
precipitation and one each managed by the other two methods by recognizing
the treatment and disposal methods to be the final disposition of different
wastes. As a result, the facility reported the following amounts of wastes:
Treated in Tanks 6,100 Metric Tons
Disposed in Surface Impoundments -- 400 Metric Tons
The reported amount of waste included both primary generation and
treatment residuals and a clear description of hazardous waste generation
on-site was not obtained. The facility also incorrectly identified all wastes
to be the residuals of treatment -- wastewater treatment sludges (F006). The
density of the wastes was not provided.
Another facility with the same management methods may have recognized only
the disposal in surface impoundment to be the final disposition of all wastes
and reported only disposed wastes. In this case the amount of primary
generation would not have been reported.
By 1985, the same facility segregated some of the feed wastes, increased
-------
3-8
FIGURE 3-1
HAZARDOUS WASTEWATER TREATMENT ON-SITE
METAL - FINISHING INDUSTRY
YEAR 1983
F006
800 MT
Ammonia
Stripping
(Other Method)
TOl
Miscellaneous
Rinsewater
(non-haza
800 MT
1.000.000 MT
F006
4.500 MT
Chemical
Precipitation
(Sodium Hydroxide)
TOl
Neutralization/
Precipitation
P006
1,000,000 MT
Filtrate
.^-Discharged
Under NPDES
Permit
sou
HOW A FACILITY INTERPRETED OPERATIONS in 1983
-------
3-9
Table 3-1
SAMPLE WASTE TRACKING DATA
Existing aiennial Report
Hazardous Wastewater Treatment On-Site (Metal finishing
Industry) - Year 1983; See Figure
Waste II Waste »2 Waste 13 Waste 34
Waste Quantification
Waste Identification
Amount of Waste
Density
F006
800 MT
N.A.
Generator Identification Yes
F006
800 MT
N.A.
Yes
F006 F006
4500 MT 400 MT
N.A.
Yes
N.A.
Yes
Facility Identification On-site On-site On-Site On-site
Transport Description ' On-Site On-Site On-Site On-Site
Process Tracking
S02
T01
S04
T01
S04
S02
T01
S04
S04
Sequence of processes can be found by referring to permit
application.
-------
3-10
the number of management methods and replaced disposal in surface impoundment
with filtration as shown in Figure 3-2. Biennial Report information for this
case is given in Table 3-2. Once again, a clear distinction was not made
between primary generation and treatment residuals. A fifth waste was now
generated which was stored in containers and sent off-site for land disposal.
This waste was mentioned in a generator Biennial Report with: adequate waste
identification; no density information; and no transport identification.
Another problem of existing generator Biennial Reports has been the double
counting of wastes by transfer stations who only store wastes temporarily and
do not treat them, and by generators storing wastes for more than 90 days.
This problem would have occured if the facility Biennial Report for 1985 in
this study had mentioned storage of Waste No. 5 on-site.
F. DESCRIPTION OF THE PROPOSED FORMS
The proposed system for reporting waste quantity and process tracking is
presented in this section. Each reported waste is to be described as an
individual line entry on a Biennial Report questionnaire form especially
designed for that purpose (Form WD, Waste Description). This form, to be
completed by all RCRA regulated generators and for all TSD facilities,
requires a brief narrative description of each waste, corresponding EPA (or
State) hazardous waste numbers, a 3-digit waste code that provides additional
details of physical and chemical characteristic, a designation of whether the
waste is regulated under Federal or State statute, a pH value, heating value
(if any), and solids/liquids concentrations.
Amount of Waste -- Waste quantities will be reported by generators on two
questionnaire forms, Primary Generation (PG) and Waste Shipped Off-site (SO).
The PG form is for, both generators who manage their wastes on-site and those
who send them elsewhere. For TSD facilities handling wastes from other
generation sources, waste quantities will be reported on the form for Waste
Received From Off-site (RO). Space is provided on those forms for indicating
the units of measure (UOM) to be associated with reported quantities.
Density -- For each waste reported in volumetric quantities (e.g.,
gallons, etc.), the density (i.e., weight per unit volume) is to be reported,
as well. Space for this is provided on each applicable form.
Identification -- There will be a separate Identification and
Certification form (ID) to be completed by all questionnaire respondents,
covering, both, generators and TSD facilities. This form will collect
identification, location, and contact data comparable to that sought in the
existing Biennial Report system. An important addition will be the inclusion
of a requirement to report the 4-digit SIC for the reporting entity.
Waste Transport Description All modes of transport used during the year
for each waste type will Be reported. A list of alternative modes of
transport (road, rail, etc.) will be provided with instructions on the
report. The number of shipments for each waste will also be reported, as will
-------
3-11
FIGURE 3-2
HAZARDOUS WASTEWATER TREATMENT ON-SITE
METAL - FINISHING INDUSTRY
YEAR 1985
P006
(:£rnn^nia:; sp?!1
\1:-:-:-:-:-:-:-:'-:--: J
liscellaneous
Mnse water
(non-haza
600 MT
Ammonia
TOl
Stripping
(Other Method)
F006
P006
1.500,000 MT
600 MT,
Neutralization/
Precipitation
10,000 MT
TOl
Chemical
Precipitation
(Sodium Hydroxide)
Filtration
Filtrate
^Discharged
Under NPDES
Permit
F006
F006
*:i:.::;:;:; 302s
s . a . ».«."_.
3000 MT
Other
Wastewater
Treatment
TOl
«11ii
F005
D008
HOW THE -FACILITY -INTEHPBETED OPERATIONS IN 1Q:85
-------
3-12
Table 3-2
SAMPLE WASTE TRACKING DATA
Existing Biennial Report
Hazardous Wastewater Treatment On-Site (Metal finishing
Industry) - Year 1985; See Figure
Wastel Waste2 Waste3 Waste4 Waste 5
Waste Quantification
Waste Identification F006 F006 FW6 F006 F006,D008
Amount of Waste 600 MT 600 MT 10.000MT 3000MT 250 MT
Density N.A. N.A. Ji.A. N.A. N.A.
Generator Identification Yes Yes Yes Yes Yes
Facility Identification On- On- On- On- Yes
Site Site Site Site
Transport Description On- On- On- On- N.A.
Site Site Site Site
Process Tracking ' S02 T01 S02 T01 S01
T01 D80
Sequence of processes can be found by referring to permit
application and the facility biennial report for waste shipped
off-site (F006,D008).
-------
3-13
all types of containers used during shipments. A list of different types of
containers (drum, tank truck, etc.) will be provided with instructions on the
report. Such waste transport information is to be reported on the Wastes
Shipped Off-site (SO) form. An identification of all transporters used to
make shipments is to be reported on a separate Off-site Identification (01)
form.
Sequence of Waste Management Methods On-Site -- Sequences of handling
methods for treating,storing, or disposing of hazardous waste are to be
reported for each line entry on forms PG and RO (primary Generation and Waste
Received from Off-site). A new listing of handling codes, based upon one
thoroughly tested in a recent EPA survey of TSD facilities, is supplied in the
questionnaire instructions (Appendix B). Additional handling codes that
should be appended to this list of process codes in order to report a complete
sequence of processes for each waste managed on-site include the following:
Transfer of waste to another facility
Transfer of recovered product
Transfer of hazardous treatment residuals off-site
Transfer of non-hazardous residues off-site
Discharge of treated wastewater
Disposal of non-hazardous residues on-site
These new codes are more descriptive than the existing Biennial Report codes,
and eliminate the problems of overlapping descriptions prevalent in the
existing codes.
Understanding of Management Methods Off-site A generalized list of
handling codes is provided in th"einstructions for use in form SO (Waste
shipped Off-site), by generators who send their hazardous wastes off-site for
treatment, storage, and/or disposal.
For this purpose, the broad description of treatment, storage and disposal
methods used in the existing Biennial Reports is adequate. However, the
following broad categories will be used to enable comparison of generators'
information with the detailed sequence of management methods reported by
facilities receiving wastes from off-site:
Incineration/Thermal Treatment
Reuse as fuel
Fuel blending
Recovery of solvents and organics for reuse
Recovery of metals
Wastewater treatment
Other treatment/recovery processes
Storage
Landfill
Land treatment
Disposal in surface impoundment
Underground injection
Other disposal processes
-------
'3-14
G. SAMPLE OUTPUTS AND USES OF THE DATA
Two examples of waste tracking with the proposed Biennial Report are shown
in Figure 3-3 and 3-4. In these examples, the hazardous wastewater treatment
on-site facility has been considered again. Tables 3-3 and 3-4 shows the
results of completing the proposed Biennial Reports.
As shown in Figure 3-3, the facility would have identified primary
generation on-site to consist of two hazardous waste streams:
Ammonia Containing Wastewater (D002)
Acid and Alkaline Wastewater containing metals
D002,D003,F007,F008,F009
The amount of primary hazardous waste generation would have been reported
to be 5300 metric tons. The generation of treatment residuals would have been
estimated to be 100 metric tons. There was no shipment of hazardous wastes
off-site in this case. The density would have indicated that primary waste
generation was aqueous in form.
The generator and facility identification would have been the same as in
existing Biennial Reports. Transport description would not have been reported
because all wastes were managed on-site.
The complete sequence of management methods would have been reported for
each waste. For example, the process tracking for ammonia containing
wastewater would have been:
Ammonia Stripping (other method)
Chemical Precipitation (sodium hydroxide)
Holding for Equalization
Neutralization of Supernatant
Disposal of Bottoms to Surface Impoundment
Filtration
Discharge of Treated Wastewater
The 1985 operations would have been reported to involve a primary
generation of 13600 metric tons; hazardous waste treatment residuals of 250
metric tons; and shipment of all residual waste for disposal off-site. The
changes in physical form of the waste would have been indicated by change in
density of residuals. Transport description would have been provided for
residuals shipped off-site. A detailed description of changes in management
methods would have been also indicated by the new sequence of process codes.
The additional waste quantification, waste transport description, and
process tracking will make the proposed Biennial Report capable of producing
more detailed and consistent information on hazardous waste generation and
management practices.
-------
3-15
FIGURE 3-3
HAZARDOUS WA3TEWATER TREATMENT ON-SITE
METAL-FINISHING INDUSTRY
YEAR 1983
D002
800 MT
29WT
Ammonia
Stripping
(Other Method)
Miscellaneous I.QQO.OOO MT
Rlnsewater
xwws
F008, F009
D002.D003.FOp7
%ni>::~*\
4500
Chemical
Precipitation
(Sodium Hydroxide)
11WT
Neutral ization/
Precipitation
1.000,000 MT
Filtrate
-^-Discharged
o
o
o
o
Under NPDES
Permit
WASTE QUANTITY and PROCESS TRACKING
ALTERNATIVE METHOD of INTERPRETING OPERATIONS
Better Identification of waste by RCRA Waste Codes
Use of process codes
Sequence of management methods
Complete coverage of ALL waste streams.
-------
3-16
FIGURE 3-4
HAZARDOUS WASTEWATER TREATP1ENT ON-SITE
tlETAL - FINISHING INDUSTRY
YEAR 1985
D002
0002, D003,
P007.F008.F009
600 MT
Ammonia
Stripping
(Other Method)
39WT
10000 MT
Chemical
Precipitation
(Sodium Hydroxide)
11WT
Miscellaneous 1.500.000 MT
Rinsewater X X"
XWWL X
Neutralization/
Precipitation
60VT
Filtration
Filtrate
.Discharged
P006
Under NPDES
Permit
OQ02
3000MT
Other
Wastewater
Treatment
60WT
xwws
-------
3-17
Example
Table 3-3
SAMPLE WASTE TRACKING DATA
Proposed Biennial Report
Hazardous Wastewater Treatment On-Site (Metal finishing
Industry) - Year 1983; See Figure 2-3
Waste »1 Waste »2 Waste 13
Waste Quantification
Waste Identification
Amount of Waste
Density
0002
800 MT
8.4
0002,0003 XWWL
F007,F008
F009
8.4
8.3
Waste
F006
4500 MT 1000000 MT 10°
Generator Identification Yes
Yes
Process Tracking
29WT
11WT
3D/60WT
34WT
11WT
3D/60WT
34WT
Yes
Facility Identification On-Site On-Site On-Site
Transport Description On-Site On-Site On-Site
60WT
34WT
Yes
On-Slte
On-Slte
3D
Note : Waste fl and #2 represents "Primary Generation"
Wast* #3 will not be reported, because the waste Is only
managed with other non-hazardous wastes. It would have been
reported as shown, if managed with primary generation
Waste *4 is treatment residual.
-------
TABLE 3-4 SAMPLE WASTE TRACKING DATA
Proposed Biennial Report
Hazardous Hastewater Treatment On-Site (Metal finishing
Haste Quantification
Haste Identification
Amount of Haste
Density
Generator Identification
Facility Identification
Transport Description
Process Tracking
Haste 11
D002
600 MT
8.4
Yes
On-Site
On-Site
29HT
11HT
37HT
60HT
34HT
Haste 12 Haste 13 Haste 14 Haste 15 Haste 16
D002fD003 XHHL
F007fF008
F009
10000 MT 1500.000 MT
8.4 8.3
Yes Yes
On-Site On-Site
On-Site On-Site
11WT 60WT
37HT 34HT
60WT
34HT
D002 F006 XWWS
3000 MT 50 MT 200 MT w
i
8.4 12.0 12.5 »
Yes Yes Yes
On-Site Yes Yes
On-Site Yes Yes
66WT 1ST 1ST
60WT ID ID
34WT
-------
CHAPTER 4
WASTE CHARACTERIZATION
A. INTRODUCTION AND OVERVIEW
Waste characterization refers to the physical, chemical and other
intrinsic properties of wastes regulated as hazardous under the RCRA. The
"other intrinsic properties" are those which determine the hazards posed by
the wastes to human health and the environment when they are generated,
transported, stored, treated, or finally disposed. Knowledge of the specific
nature of hazardous wastes is essential for: (1) projecting potential harm
to populations at risk; (2) implementing governmental programs to regulate
hazardous wastes; (3) planning for manufacturing changes to miminize waste
generation; and (4) selecting alternative methods for managing wastes which
are generated.
There is a great need to improve the current hazardous waste
characterization system. Under the existing approach, waste characterization
depends largely on identifying the hazardous characteristics and/or
constituents in the waste. A waste is deemed hazardous if it exhibits one of
several hazardous characteristics (i.e., ignitability, corrosivity,
reactivity, and/or toxicity). Some hazardous wastes, which are usually
generated from a specific production process, are specifically listed due to
the presence of certain hazardous constituents. EPA uses a 4-character
numbering system - RCRA waste codes - for identifying individual hazardous
wastes Ce.g., D001, F008, etc.). The RCRA waste -codes do provide waste
characterization, but they do not provide much needed information concerning
the physical state or chemical character of the waste. Furthermore, they do
not adequately identify the type of hazard involved. Unfortunately, waste
characterization data available from the existing Biennial Reports are limited
to these RCRA waste codes and a brief narrative description of the wastes.
The two issues which need to be resolved- concerning better waste
characterization data from Biennial Reports are: (1) what are the needs and
uses of waste characterization data in the biennial reporting system, and (2)
what data requirements need to be achieved to meet the needs or uses?
Waste characterization data are required in periodic reporting systems for
three main reasons: (1) wastes may be generated and managed on a "one-time
basis; (2) patterns of hazardous waste types change with time, because of
variations in demand for manufactured products, manufacturing processes, and
similar circumstances; and (3) waste characteristics vary within the same
industry due to differences in the generators' waste management practices.
By obtaining improved waste characterization data from the Biennial
Reports, state governments and EPA can also make a better evaluation of:
current hazardous waste generation and management practices; and alternatives
to these practices.
-------
4-2
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA
Under RCRA, any waste that are generated, have to be "treated, stored, or
disposed of so as to minimize the present and future threat to human health
and the environment." Waste characterization data are required to evaluate
these management practices for each waste generated. Regulations applicable
to handlers of hazardous waste (40 CFR Parts 262 and 264) require that
hazardous waste generators and TSD facility owners and operators prepare and
submit Biennial Reports to the EPA Regional Administrators by March 1 of each
even-numbered year. The Biennial Reports are to describe the wastes generated
and handled, and provide information on their treatment and disposal.
The Hazardous and Solid Waste Amendments of 1984 (HSWA) of RCRA require
current data as soon as feasible on the availability of capacity at TSDRs to
manage particular types of wastes using particular types of technologies and
process methods. Although this data will be compiled by EPA through national
TSD Facility and Generator Surveys, the information obtained from surveys
needs to be updated through Biennial Reports in succeeding years.
EPA's rulemaking responsibilities for hazardous waste management under
RCRA and other statutory authority require the agency to develop and maintain
detailed and consistent waste characterization data.
Legislation has already mandated environmental agencies in several states
to conduct statewide hazardous waste management studies and develop commercial
treatment facility plans. Typically these state regulations have required the
following steps to be taken: complete a comprehensive inventory of the types
and quantities of wastes currently generated; forecast hazardous waste
generation in the future; conduct a capacity assessment of existing and
planned treatment, storage, and disposal facilities; and determine capacity
shortfalls. The states have used manifest data, generator and facility annual
reports, permit applications, and surveys to complete these studies. Many of
these state plans require updating, and the biennial reporting system can
function as a primary data source for this purpose.
C. POLICY OPTIONS
Because of the differing requirements, a decision must be made as to the
needs and uses of characterization data in the Biennial Reports, so that the
proper information can be included. Four alternatives have been considered.
These waste characterization system alternatives are: (1) maintain the present
4-digit RCRA waste code system and provide a narrative description of each
waste; (2) implement a system which is presently used by the State of
California requiring TSD facilities to define physical properties, and list
all hazardous constituents present in each waste with their specific
concentrations; (3) use the comprehensive coding system being developed by
EPA that employs coding sequences to more systematically describe each waste s
hazardous characteristics, physical form, and constituent content; or (4)
develop a system based on the agency's generator and TSDR facility survey
questionnaires which also require 4-digit waste codes, but employ concise
waste description codes to describe the physical-chemical form, and require
additional physical-chemical characteristic information.
-------
4-3
Alternative one, the current waste characterization system, relies
exclusively on the 4-digit waste code and narrative description of wastes. It
is inadequate to meet the needs and uses of waste characterization data as
indicated previously. The second alternative, California's waste
characterization system, has an advantage over the other alternatives by
meeting a number 'of information needs outlined above. However, this system
will involve substantially greater reporting and information processing
burdens. The comprehensive, new classification of wastes, the third
alternative, is not ready for implementation.
The system selected for Biennial Reports should be compatible with the
characterization systems selected for other complementary data sources.
Alternative four, based on EPA's experience with survey questionnaires, has
this feature and is the option that has been selected for the new biennial
reporting system.
D. DATA AND INFORMATION REQUIREMENTS
This section identifies the data elements required in Biennial Reports for
adequate waste characterization. A justification for requiring each data
element is also provided. These data elements have been organized under the
following three data categories:
Data Category A - Waste Identification
Data Category B - Physical-Chemical Form
Data Category C - Physical-Chemical Characteristics
Waste identification refers to identifying hazardous characteristics
and/or constituents of wastes. Physical-Chemical Form provides a definition
of the predominant constituents that give a particular physical state and/or
hazard characteristic to the waste. Physical-Chemical Characteristics provide
information on special properties of the waste.
1. Data Category A - Waste Identification
The RCRA waste codes provide the best available identification of
hazardous constituents and characteristics. The TSD facility and generator
surveys conducted by EPA use this data element for identifying wastes. For
consistency with waste identification in other data sources, RCRA waste codes
should be continued in the proposed system for Biennial Reports. As in the
existing Biennial Reports, all applicable waste codes should be reported.
The deficiencies of this data element are expected to be compensated for
by the other data categories. For example, to make up for the fact that the
constituents are not known for ignitable (D001) wastes, a relevant
physical-chemical characteristic should also be reported to better define
ignitability.
2. Data Category B - Physical-Chemical Form
This data category is required primarily to describe the treatability of
-------
4-4
wastes in the absence of detailed analytical data. A comprehensive list of
waste description codes (A/B Codes) has been developed by EPA to supplement
the description provided by RCRA waste codes. These codes describe the
physical state of the waste and identify their major or hazardous constituents
and are used in other EPA surveys of generators and treatment facilities. For
example, "caustic solution with metals and cyanides" or " metal scale,
fillings, or scrap", etc., are included in this waste code system.
Different description codes have been developed for listed wastes and
characteristic/mixed wastes. For the purpose of compatibility with other
survey information, the Biennial Reports should use the same codes. The
information to be reported is readily available to generators and TSD
facilities.
Complete, detailed information on physical properties will not be provided
by these waste description codes. Neither do these codes provide a complete
chemical profile of wastes. The A/B codes, however, greatly expand the
information available from the 4-character EPA Hazardous Waste Numbers, and
imply a significant amount of additional data describing chemical nature and
physical state.
3. Data Category C - Physical-Chemical Characteristics
A waste characterization system based only on a comprehensive list of
physical-chemical characteristics can be developed for hazardous wastes
without relying on either waste identification by RCRA waste codes or waste
description codes. In fact, hazardous waste management facilities require
substantial analytical data prior to receiving wastes. Table 4-1 shows a list
of the characteristic information required by two commercial incinerators. In
addition to this information, these facilities require a chemical profile of
the wastes. Although such information is available at many TSD facilities,
there are inconsistencies in the analytical data recorded, or required, by
different facilities. For the purpose of the biennial report, therefore,
consistent information is not readily available on the full panopoly of
physical-chemical characteristics. Certain characteristics are universally
known and used, however. Five of these, in particular, find wide usage and
provide basic descriptive information. These five are:
pH
BTU
Density
Percent Solids
Percent Water
pH This data element is important because a substantial fraction of
characteristic wastes show corrosivity. Waste description codes (i.e., A/B
Codes) for these wastes can only identify whether a given waste is corrosive
due to the presence of acidic or caustic materials. The property of
corrosivity is better described by a pH number, which also provides very
important analytical data for carrying out treatment of aqueous wastes by
physical-chemical-biological methods. As shown in Table 4-1, hazardous waste
incinerators also require this characteristic. For incineration, however, pH
is required mainly to confirm the compatibility of wastes with the material of
-------
4-5
TABLE 4-1
Physical -Chemical Characteristics Required
By Commercial Incineration
Characteristics
Facility 1
Facility 2
* Solids
Total Oisolved Solids
Specific Gravity/Density
PH
Ash (% WT.)
Heat Content (BTU/lb.)
Flash Point
Sulpher (% WT.)
Halogens (% WT.)
Total Organic Halogens
Total Organic Carbon
Total Nitrogen
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
-------
4-6
construction of process equipment. pH is also required as a "negative"
indicator for other waste management technologies, including energy recovery,
stabilization, solvent recovery, and metal recovery from liquid wastes.
BTU1 This data element defines the heating value of wastes during
combustion and is a prime descriptor due to the large occurence of ignitable
wastes. Waste description codes for these wastes can only indicate the
presence of ignitable constituents (organic compounds) in "low", "medium", or
"high" concentration. Although ignitability is correctly described by
flashpoint (temperature at which waste vapor ignites under prescribed test
conditions), BTU was selected in preference because of the use of heating
value data at facilities carrying out energy recovery or incineration.
Besides being used for energy balance of operations at these facilities, BTU
is also used as an indicator of the general incinerability of certain wastes.
With the impending ban on land disposal of certain hazardous wastes,
incineration technologies are being seriously considered as an alternative
method of management.
Density --This data element has already been selected for waste quantity
and process tracking (Chapter 3). Therefore a separate justification of this
data element is not required. However, it should be pointed out that density
(for both liquid and solid wastes) is a good basis for confirming and
quantifying the physical state of waste given by waste description codes.
Percent Solids and Percent Water In the total absence of a chemical
profile, these two data elements will be very useful for quantifing the
physical form given by waste description codes for several wastes. For
example, percent solids for a sludge described as "lime sludge with metals",
or percent water for an "aqueous waste with low solvents". These data items
can be very easily determined and are used for hazardous waste management at
different facilities. These facilities include: energy recovery,
incineration, waste stabilization, solvent recovery, metal recovery, and
cheraical-physical-biological treatment of aqueous wastes.
E. USEFULNESS OF CURRENT DATA
Besides waste identification by RCRA waste codes, a narrative description
of waste and the DOT Hazard Codes are the only other two data elements in the
existing Biennial Reports for providing waste characterization. The narrative
descriptions obtained have not been useful for analyses because the
information could not be computerized. The existing biennial report gives
specific instructions only for a narrative description of unlisted wastes.
There are no instructions given for describing mixed wastes. As a result, the
characterization data available in narrative description has been
inconsistent, if not totally inadequate.
Ifiritish Thermal Unit (BTU). The amount of heat required to raise the
temperature of one pound of water one degree Fahrenheit. The BTU value of a
substance indicates the magnitude of its potential to release heat when
combusted.
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4-7
The 2-digit DOT hazard codes used in the existing .biennial report
provide a limited amount of additional information pertaining to the physical
form and/or hazard characteristic of wastes. This information, although
useful for addressing waste transportation issues, is not comprehensive enough
for RCRA waste management considerations.
The RCRA waste codes are suitable for identifying the hazardous
constituents and/or characteristics of the wastes. This data element must
therefore be retained in the proposed revision of the biennial report. This
data element has also been included in EPA's generator and TSDR facility
surveys.
F. DESCRIPTION OF THE PROPOSED FORMS
The proposed waste characterization data items to be included in the
biennial reporting system are described below :
Waste Identification Each waste reported is to be identified as a
separate line entry on a special Waste Description (WD) form. Reporting of
waste generation quantities, handling methods, and similar information on
other forms (e.g., RO, SO, PG, etc.) pertaining to specific wastes are to be
linked to the WD line entries by "Waste Reference" page and line numbers. The
RCRA waste codes and narrative description used in the existing Biennial
Reports will be also used for identifying each hazardous waste in the proposed
biennial report. Instead of using the narrative description for additional
characterization of wastes, as in the existing reports, the instructions on
the proposed Biennial Reports will require use of narrative description if
more than one waste stream uses the same combination of RCRA waste codes for
identification. If non-hazardous wastes have to be identified, the following
additional codes will be used ;
NWWL - Non-hazardous wastes (Liquid)
NWWS - Non-hazardous wastes (Solid/Sludges)
Waste that is considered hazardous by federal or state regulations will be
identified by appropriate 4-digit codes. If a specific code does not exist
for a state regulated hazardous waste, a narrative description must be
provided. All applicable waste codes will be used for identification, without
a limit on the number of codes. A complete list of applicable waste codes
will be given with instructions on the report.
Waste Description Codes -- The waste description codes (A/B Codes)
developed specifically for generator surveys and survey of land treatment
facilities will be also used to describe the physical-chemical form of each
waste on the Waste Description (WD) forms. If more than one waste description
code applied to a waste, the waste will be assigned to the code which best
describes its physical-chemical form.
rfl -- Reporting of this data element will be required on the Waste
Description (WD) forms only for liquid wastes and waste sludges. pH of both
hazardous and non-hazardous wastes of the right physical state will be
provided. This information is to be provided only by TSD facilities.
-------
4-8
BTU -- This data element on the Waste Description (WD) form will be
required to be reported for wastes that are either identified by the RCRA
waste code of D001 (ignitable waste) or assigned to waste description codes
indicating the presence of organic constituents. Thus "wastewater treatment
sludge with toxic organics" will be required to report a heating value. This
information is to be reported only by TSD facilities.
Density The density, in terms of weight per unit volume, will be
reported for each waste that is quantified with volumetric units. Density
will be on the Primary Generation (PG), Wastes Shipped Off-site (SO), and
Waste Received From Off-site (RO) forms. The WD form asks for no
quantification data, so that density query is not appropriate. Any suitable
unit of measure may be used to give this information. A set of conversion
factors from different units of measure to a standard unit of measure (e.g.,
metric tons per cubic meter) will be given with instructions on the report.
Percent Solids This data element will be provided for all liquid wastes
and sludges.This" information is to be provided only by the TSD facilities.
Percent Water This data element will be provided for all wastes. This
information is to be provided only by the TSD facilities.
G. SAMPLE OUTPUTS AND USES OF THE DATA
An example of waste characterization with the proposed biennial report is
shown in Figure 4-1 which is reproduced here for easy reference. In this
example, a wastewater treatment on-site facility is shown. Table 4-2 shows
the results of completing the proposed biennial report.
The improvement in characterization data is apparent from this example.
The physical-chemical form of the wastes indicates that all the primary
generation wastes (Waste §1,2 and 3) are inorganic liquids. However, the
fact that one waste stream (Waste *1) contains ammonia will not be revealed by
the proposed data elements. The presence of cyanides in Waste * 3 is revealed
by RCRA waste codes (F007, F008 and F009) and not by waste description code
(B07). The pH of the three influent wastes indicates that only two wastes
meet the criteria of corrosivity (pH 2.0 or pH |12.5). The proposed criteria
for providing data elements do not require BTU to be determined for these
wastes. All primary generation wastes will be characterized to be aqueous
(|99% water) with negligible solids ( 1%).
Although a dramatic improvement in waste characterization is not expected
from the proposed Biennial Reports, the additional waste characterization data
along with improved process tracking will help to assign most wastes to
appropriate treatability categories for the purpose of facility capacity
assessment.
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4-9
FIGURE 4-1
HAZARDOUS WASTEWATER TREATMENT ON-SITE
flETAl - FINISHING INDUSTRY
YEAR IQflS
D002
D002
Ammonia.:
600 MT
Ammonia
Stripping
(Other Method)
ni seel 1aneous 1.500.000 MT
10.000 MT
Chemical
Precipitation
(Sodium Hydroxide)
11WT
Rinsewater
NWWL
Neutralization/
Precipitation
60VT
Filtration
37WT
Filtrate
P006
Under NPOES
Permit
F007,FOOVP00<5
N
VJ::':':
3000 MT
Other
Westewater
Treatment
60WT
xwws
WASTE QUANTITY and PROCESS TRACKING
ALTHWATTV* METHOD of IMTERPRBTIMO OPERATIONS (1Q85)
-------
TABLE 4-2
SAMMPLE HASTE CHARACTERIZATION DATA
Proposed Biennial Report
Hazardous Nastewater Treatment On-Site (Metal finishing
Industry) - year 1985; See Figure
Waste il Waste J2 Waste §4 waste J3
WasteiS Haste 16
Waste Identification
RCRA HASTE CODES
NARRATIVE DESCRIPTION
Physical-Chemical Form
HASTE DESCRIPTION CODE
Physical-ChemicaI
DI02
D002
B03
B03
NWWL
Misc.
Rinsewater
B18
0002,0003 F006
F007,F008
F009
B07
B22
xwws
I
K-
o
B22
Characteristics
PH
BTO
Density
I Solids
% Hater
1.8
8.4
< 1%
> 99%
5
-
8
<
>
.6
.4
1%
99%
6.
8.
<
>
3
-
3
1%
99%
12
--
8
<
>
.7
-
.4
1%
99%
12.0
25%
75%
_ _
12.
28%
72%
_
-
5
-------
CHAPTER 5
CAPACITY ASSESSMENT
A. INTRODUCTION AND OVERVIEW
Capacity assessment refers to compiling and analyzing information on the
capabilities and usage of different management methods at hazardous waste
treatment, storage, and disposal (TSD) facilities to evaluate the present and
future availability of capacity to manage particular wastes regulated as
hazardous under RCRA. Since the supply of TSD facilities are expected to
change over time, capacity assessment must take into consideration, both, the
management methods existing at facilities and planned changes. Processes not
regulated under RCRA but involving the management of a hazardous waste (for
example, discharge of treated wastewater under NPDES permits from TSD
facilities) should also be included in the assessment. Finally, the
regulatory, economic, and other operational limitations of using particular
management methods at particular facilities should be considered.
A good understanding of the current and future capacity of TSD facilities
to handle hazardous wastes is required for: (1) effectively implementino
existing regulations; (2) revising rules for managing hazardous wastes; (3)
planning for, siting and permitting new hazardous waste management facilities;
and (4) developing workable waste minimization programs. To meet some of
these goals, several state government agencies have compiled information
from different sources (manifest forms, permit applications, annual reports
and surveys) to perform facility capacity assessments by broad categories of
wastes and management methods. However, there is no single existing source of
information containing all the data required to make comprehensive capacity
assessments.
For example, the planned capabilities of TSD facilities are described in
permit applications. However, the actual usage of management methods at TSD
facilities may vary from the planned usage.
By tracking waste quantities and waste management methods, the
Annual/Biennial Report can provide certain information on the current usage of
TSD facilities. This information will be enhanced by implementing the
Annual/Biennial Report revisions made in Chapter 3 - Waste Quantity and
Process Tracking. However, in addition to the process tracking by particular
wastes recommended in Chapter 3, aggregate capacity, by particular waste
management methods, is required. This questionnaire section should be
designed to update and upgrade permit information, provide capacity
information not covered in the waste tracking section of the Annual/Biennial
Report questionnaire and seek information on future plans for TSD facilities.
There is no provision in the existing Annual/Biennial Report to enable a
capacity assessment. The Annual/Biennial Report revisions proposed in this
chapter, if implemented, will substantially increase the use and applicability
of the annual/biennial reporting system. However, the additional capacity
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5-2
information provided by these revisions will not result in the creation
of detailed mass and energy balances for each process in use at TSDR
facilities. To fully evaluate waste management methods, therefore, separate
TSDR facility surveys or inspections will be required.
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA
Development of regulations under the Resource Conservation and Recovery
Act (RCRA) as amended by the Hazardous and Solid Waste Amendments of 1984
(HSWA) requires current data as soon as feasible on the availability of
capacity at TSD facilities to manage particular types of wastes using
particular types of technologies and process methods. Although this data will
be compiled by EPA through national TSD Facility and Generator Surveys to meet
the schedule of restrictions and bans called for in HSWA, the information
obtained from surveys must be updated through Annual/Biennial Reports in
future years.
Among EPA's rulemaking responsibilities as defined by specific
Congressional mandates are: land disposal restrictions, revisions to tank
permitting standards, accumulation tank standards, best demonstrated available
technology (BOAT) standards, revisions to underground injection well standards
and air emission regulations. Prior to rulemaking, EPA needs technical
information upon which to base regulatory options. EPA must also perform
technical assessments - Regulatory Impact Analysis (RIA) and Regulatory
Flexibility Analysis (RFA) - to determine the need for future ruleraaking.
EPA must also be prepared to develop future hazardous waste regulations. To
meet these responsibilities EPA must develop and maintain a comprehensive
database on hazardous waste generation and management practices, waste
characteristics, and the capacity of TSDR facilities to manage wastes.
EPA and the states must also perform technical analyses specified by the
new Superfund Amendments and Reauthorization Act (SARA) of 1986. SARA
requires each state to assure the Federal government that adequate capacity
will exist for disposal or treatment of all hazardous wastes expected to be
generated in the state within a 20-year period following the date of
assurance. This applies to RCRA wastes as well as wastes generated by
response or remedial actions at Superfund sites. Each state, in preparing its
capacity assurance document, and EPA, for evaluating the assurance statement,
must be prepared to estimate how much hazardous waste treatment, storage,
disposal, and recycling capacity exists within the state's boundaries.
TSD facilities' capacity assessments are already mandated by legislation
in several states. These laws typically request state environmental agencies
to develop statewide hazardous waste facilities plans. The plans involve an
analysis of the number and types of facilities needed based both on a survey
of wastes produced and the capacity of existing facilities. Both the current
and future hazardous' waste generation and management are considered in these
plans to determine the needs of TSD facilities. In response to state
statutes, several have already developed facility plans. Many of these plans
require periodic updating, and the annual/biennial reporting system can
function as the primary data source for this purpose.
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5-3
C. POLICY OPTIONS
There is no direct provision in the existing annual/biennial reporting
system to obtain capacity-related information. Two new alternatives were
considered to address the issue of how the annual/biennial report system could
be useful in developing information on available capacity for handling
hazardous waste. The first alternative was to request TSD facilities to
simply update information provided in their permits or permit applications.
The second alternative was to obtain information on both "permitted" and
"available" capacities for handling hazardous wastes at the facilities.
The main advantage of the first alternative is that the required
information could be easily compared with permit applications. While this
will simplify the response of TSD facilities to capacity-related questions in
the Annual/Biennial Report, the data obtained may result in a less reliable
capacity assessment. First, the availability of underutilized capacity for
commercialization would not be known. Next, some of the permitted capacity
might be used for non-hazardous wastes. Finally, the throughput capacity of
treatment/disposal methods reported in permit applications does not,
necessarily, mean that these methods are operated on a continuous basis. The
additional information on the availability of capacity that could be obtained
by implementing the second alternative, on the other hand, would enable a more
realistic capacity assessment.
The Advisory Council recommended that the Annual/Biennial Report be used
to obtain information on both "permitted and available" handling capacities.
The availability of capacity should address commercialization and handling of
non-hazardous waste. The current usage of management methods and future
plans for changing handling capacity should be also reported.
D. DATA AND INFORMATION REQUIREMENTS
This section identifies the data elements required in Annual/Biennial
Reports for obtaining capacity-related information. A justification for
requiring each data element is also provided. These data elements have been
organized under the following five data categories:
Data Category A - Available Capacity
Data.Category B - Status of Management Methods
Data Category C - Current Use of Capacity
Data Category D - Residual Generation and Management
Data Category E - Plans to Change Available Capacity
1. Data Category A - Available Capacity
Available capacity refers to the maximum quantity of waste that can be
managed by each method available at a facility under the existing regulatory,
economic and physical limitations. Available capacity, rather than the design
capacity of the management method as originally installed, is required for
sound capacity assessments. In order to link capacity assessment with waste
tracking information (Chapter 3), the management methods and descriptive
reporting codes for this data element should be the same as for the waste
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5-4
quantity and processing tracking provisions in Chapter 3.
The following data elements must be provided in this category:
Throughput Capacity
Annual Capacity
Ranking of Factors Influencing Annual Capacity
Percent of Annual Capacity for Commercial Use
Throughput Capacity -- This data element represents the maximum amount of
waste that can be managed by a particular method in a "given" period of time
(e.g., gallons per hour). For most waste handling methods, this is the form
in which permitted capacity is known to hazardous waste handlers although this
does not apply to permitted landfill capacities.
Throughput capacity is an essential data element, but, alone, is not
sufficient for capacity assessments. For economic and other reasons, a
facility is not likely to operate at its short-term throughput capacity for
extended periods of time. The number of shifts operated per day, the number
of days per year that operations are conducted, and maintenance downtime all
combine to determine long-term capacity availability.
Annual Capacity -- Annual capacity refers to the quantity of waste that
can be managed during a year; it can be expected to be less than throughput
capacity due to the factors mentioned above. This data element is required
for comparisons with actual use of capacity (see below) to estimate the excess
capacity of each management method at a facility.
Ranking of Factors Influencing Annual Capacity -- More than one factor may
be responsible for the fact that the annual capacity of a management method
cannot be directly calculated from throughput capacity. Although it is not
necessary for the purpose of capacity assessment to find out how much annual
capacity is affected by each factor, it will be very useful to know how these
factors compare with each other. For example, the full design capacity of a
particular management method may be limited by the operating permit. If this
fact can be recognized during capacity assessment, additional capacity may be
made available simply by modifying the permit.
Percent of Annual Capacity for Commercial Use -- While evaluating the
treatment capacity of TSD facilities, it is necessary to determine this data
element for each management method. This is because excess treatment
capacity, particularly for TSD facilities operated on-site by manufacturing
firms, may not be available to other parties.
2. Data Category B - Status of Management Methods
Waste management methods available at the same facility may differ in
commercial, regulatory or operational status. For example, a facility may
receive wastes from all generators off-site for physical-chemical-biological
treatment but only from certain generators for other processes. Another
facility may have closed particular operations, temporarily. Without an
understanding of these limitations, capacity information may be misinterpreted
-------
5-5
to make incorrect estimates of available capacity. The following data
elements must be provided in this category:
Commercial Status
Regulatory Status
Operational Status
Commercial Status Many facilities receive wastes from generators owned
by the same company. Other facilities are strictly non-commercial. This
status must be reported for each management method.
Regulatory Status Hazardous wastes are sometimes managed by methods
that are not regulated under RCRA. For example, facilities that are treating
aqueous wastes and discharging treated effluent under a NPDES permit are given
"permit by rule", and management methods at this facility are not regulated
under RCRA authority. Hazardous waste fuel burned for energy recovery in
industrial furnaces and boilers are regulated separately under RCRA.. The
regulatory status of each management method at such facilities should be
identified, because capacity assessment must consider both regulated and
exempt hazardous waste management methods.
Operational Status -- Since capacity assessment evaluates the availability
of capacity at present and in the future, both closed (but also to be
reactivated) or active management methods at facilities must be identified.
3. Data Category C - Current Use of Capacity
The difference between annual capacity and current use of capacity
represents the excess capacity available at facilities. However, both
hazardous and non-hazardous wastes are managed at many facilities and affects
the actual excess capacity available. The available capacity for commercial
use minus capacity actually used, on the other hand, represents the
underutilized capacity available for commercialization. The following data
elements should be included in this category:
Quantity Managed Last Year
Percent Hazardous Waste
Percent Commercial Use
Quantity Managed Last Year This data element is required to make an
estimate of excess capacity available for each management method at the
facility. It should be pointed out that this quantity may not be the same as
the amount of waste either generated or received from off-site at the
facility during the same year.
Percent Commercial Use -- This data element is required to make an
estimate of the excess capacity available at each management method for
commercial waste management. This data element represents the percent of the
quantity managed last year that was received from off-site in the past Uot
necessarily last year).
Percent Hazardous Waste This data element represents the percent of the
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5-6
quantity of waste managed in the reporting year that was hazardous. It is
reasonable to project, on the basis of data for the reporting year, a similar
breakdown of available excess capacity between hazardous and non-hazardous
wastes for the immediate future.
4. Data Category D - Residual Generation and Management
Hazardous waste management methods that generate residuals produce a
demand for treatment, storage, and disposal capacity. In order to understand
the magnitude and type of this demand, residuals will have to be separately
tracked as a part of capacity assessment. In the absence of this data
category, no accurate estimates can be made of the percent of waste generated
as residuals from different hazardous waste management methods. The following
data elements must be provided in this category:
Quantity of Residuals Generated Last Year
Percent Hazardous Waste
Sequence of Management Methods
Quantity of Residuals Generated Last Year -- The total quantity of
residuals (.including both hazardous and non-hazardous wastes) generated during
a year must be known and compared with the quantity of waste actually managed
by the same method for a complete residual analysis. Management methods
involving continuous processes for physical-cheraical-biological processes, for
example, usually discharge the total quantity of "influent" wastes as
residuals. However, for a particular year, there may be a build-up of
treatment sludges in one of the processes resulting in a quantity of
"effluent" residuals smaller than the "influent" wastes. The next year, the
quantity of "effluent" residuals may be higher than "influent" wastes.
Incinerators, on the other hand, usually generate only a part of "influent"
waste as residuals.
Percent Hazardous Waste -- This data element represents the percent of the
quantity of residual waste generated last year that was hazardous. It is
required in order to track the ultimate generation of hazardous waste
residuals from treatment, storage, and disposal facilities.
Sequence of Management Methods -- The processes by which each hazardous
waste residual generated by a process are managed at a treatment, storage, and
disposal facility are defined by this data element. This information is
required in order to complete the tracking of hazardous waste residuals which
are generated at treatment, storage, and disposal facilities. Management
methods for residual management will be the same as the processes uses for
tracking primary generation.
5. Data Category £ - Plans to Change Capacity
Regulatory, economic and operational considerations may motivate
facilities to change their capacities and/or capabilities. If reported in the
format used to report current availability of capacity - namely, by management
methods - this data category will be invaluable in updating and upgrading
capacity assessment to forecast future trends in capacities available for
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5-7
hazardous waste management. The following data elements must be provided in
this category:
Change in Available Capacity
Change in Percent of Available Capacity for Commercial Use
Year for Changing Capacity
Reason for Changing Capacity
Change in Available Capacity This data element is required to make an
estimate oftHeavailablecapacity in future. If the demand for each
management method can be forecast, an estimate of the available excess
capacity can also be made.
Change in Percent of Available Capacity for Commercial Use Any future
business plan for changing the commercial availability of management methods
should be disclosed in this data element.
Year for Changing Capacity -- This data element will be used to forecast
the expectedfutureavailability of treatment, storage, and disposal
capacities.
Reason for Changing Capacity -- This data element is required to establish
the existenceof patternsan3 trends in the availability of treatment,
storage, and disposal capacity.
E. USEFULNESS OF CURRENT DATA
There is no provision for a complete capacity assessment in the existing
Annual/Biennial Reports or permit applications. The capacity information
available in permit applications provides only design capacity of broad
categories of processes regulated under RCRA. The commercial status of the
processes is not clearly identified by permit information. The current use of
capacity is tracked only by final management methods in existing
Annual/Biennial Reports. Even at facilities with only one management method,
use of capacity cannot always be compared with design capacity due to the use
of different units of measure. Residual generation and management are not
specifically tracked by current data. Future plans for changing design
capacity are known only through revised permit applications. The provision
for capacity assessment in the biennial reports will provide, therefore, a
substantial improvement of current data.
F. DESCRIPTION OF THE PROPOSED FORMS
The proposed data items to be included in the biennial reporting system
for capacity assessment are described below:
Available Capacity Both throughput and annual capacity will be reported
on the Process Summary (PS) form for each management method at the facility.
Design capacity will be the basis for reporting throughput, with applicable
regulatory, economic, and operational limits used to estimate annual
treatment, storage, and disposal capacities.
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5-8
The percent of annual capacity for commercial use will be estimated by
considering the current business plans of the facility.
Although data elements in this category will be largely based on
assumptions made by facilities, the information obtained will describe the
existing situation better than any other existing data sources.
Status of Management Method -- The commercial, regulatory and operational
status will be reported on the Process Summary (PS) form for each management
method. Simple characteristic codes will be used. The commercial status will
be selected from the following categories :
Commercial
Limited Number of Other Firms
Limited Number of Firms Owned by the Same Company
Non-commercial
The regulatory status will determine whether the management method is
regulated under RCRA or exempt. The operational status will determine whether
the management method is active, closed or temporarily closed.
Use of Capacity - The amount of hazardous waste managed last year by
each method will be reported in the same unit of measure used for annual
capacity. The facility will also report the percent of this amount for
commercial use. The breakdown of current use between hazardous and
non-hazardous wastes will be reported, as well.
Residual Generation and Management Each management method resulting in
the generation of residuals will be identified on the PS form and residuals
will be determined to be hazardous or non-hazardous effluents. The quantity
and sequence of management methods for each residual will be also reported.
Management methods for residual management will be the same as the processes
used for tracking wastes.
Plans to Change Capacity -- Each change of annual capacity in the future
is reported- by providing tne expected new annual capacity. The year for
expected changes during the next five years is to be reported. The reason for
each change is to be reported as a code corresponding to one of the following
categories:
Change in Production
Change in Production Methods
Change in Waste Management Methods
Change in Regulatory Status of Waste Management Method
Change in Commercial Status of Waste Management Method
Other Reasons
Any change in percent annual capacity for commercial use will also be reported
by providing the new percentage.
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5-9
G SAMPLE oirmrrs AND USES OF DATA
An example of capacity assessment with the proposed biennial report are
shown in Figures 5-1 and 5-2. In this example, the available capacity of an
on-site hazardous wastewater treatment facility is shown for the year 1983
(Figure 5-1). The planned modifications of this facility are shown in Figure
5-2 for the year 1985. The results of completing the proposed biennial report
for 1983 for capacity assessment by management methods are shown in Table 5-1.
Both throughput capacity and annual capacity are given for each management
method at this facility. The ranking of factors for influencing annual
capacity shows that "physical limitations" prevent the facility from having a
higher capacity. These limitations are coded in Table 5-1 as follows :
Operational schedule (3a)
Planned downtime (3b)
Other physical limitation, such as physical limitation on
another management method (3c)
The facility is entirely non-commercial." Three out of the existing management
methods are regulated under RCRA. These are either the treatment or disposal
of hazardous wastes. All management methods are active. The current use of
the capacity for each management method is given. Four management methods
receive hazardous wastes - 100 percent of "influent" waste as hazardous in all
four cases. Only three out of these four methods generate hazardous waste
residuals; the fourth method is a disposal process. The sequence of
subsequent management methods for these three hazardous waste residuals are
also given.
Plans for changing capacity by 1985 includes : increase in capacity of a
hazardous waste treatment process; closure of disposal method; and replacement
of disposal by filtration. The changes in capacity expected by 1985 for these
three methods are also given. The reasons for changes are given as : change
in production or change in management method.
This example illustrates how the additional data elements proposed for
biennial reports will enable For the first time periodic updates of capacity
information to track the availability of excess capacity by individual
treatment, storage, and disposal methods.
-------
FIGURi s-i
HAZARDOUS WASTEWATER TREATI1ENT ON-SiTE
METAL - FINISHING INDUSTRY
YEAR 1983
\j:' ':':'::':':' ' '-^>
Miscellaneous
Rinsewatsr
Ammonia
Stripping
(Other Method)
**iooo
800 MT
2000 .
Filtration - U-°00.^°
MT
*2000
Neutralization/
Precipitation
«*2xl06
01 Hazardous
Waste
300MT
Filter
I Cake
-------
5-11
FIGURE 5-2
HAZARDOUS WASTEWATER TREATMENT ON-SITE
METAL - FINISHING INDUSTRY
YEAR 1985
liscellaneous
5inseweter
('.'...[.'.'.'.:'-:-\
V:-:-
Ammonia *4
Stripping
(Other Method)
1000
600MT
_u . , *20
Chemical
Precipitation
(Sodium Hydroxide)
**15,000
Neutralization/
Precipitation
**2xlO
*20
Other
Wostewater
Treatment
**5000
.012 Hazardous
Waste
.5% Hazardous
Waste
MT
Filtrate
-^Discharged
Under NPDES
Permit
ADDITIONAL INTERPRETATIONS of OPERATIONS
For CAPACITY ASSESSMENT
FEATURES
o Available Capacity for each Management Method
o Residual Generation plus % hazard waste in residual
* Throughput Capacity (MT) in 8 Hrs.
*« Annual Capacity (MT)
-------
Table :>-!
SAHPLt CAPACITY ASSESSMENT DATA
Proposed Biennial Report
: Haiardoua Naatawatar Traalnant On-Slta IHatal llnlahlng
Induetiy) - tear Hllj »« rlgtua >-!
METHODB I l»Mt IIMT MHT ID MHT 14HT 17WT
*v«H«bU Capacity
Throu,hp«t Capacity 4 ! "-» » lfii
IHatcIc Tona pat Shift)
Annual Capacity ! 7»M -.». " »" ""»
(Natflc Toaa par laar)
l.nklo, ar Pactaia Jb la M.». lc lc Jc
(Only blghaat Bank I
Peccant at Capacity B - ---
fai CaaaMiclal Uaa
atatua el Hanagaaant HathoJa
CaaaMcelal ftatoa ....................... "» Caa,clal ..................
agalatacy Itataa » » * B B
oparatlonal Stakaa » » A A A » u,
H-
Currant Uaa ol Capacity N>
Ouaat.t, H..^a« I. MM *) SJM « ! INMM
litatcle To«a)
% H...r4ou. llaata IN IN > IM
Oa«.ratlon and Maaagaa^nt
of ...ldu.1 SIN »» > »" 1MM"
In !»! INT)
N.i.rdoua N.ata IN IN ,7.5
IIMT ««ff JO --- -" ......
aquanc. of Ha»., ot «« 1D/NW
Nathada JB/iMT J«»rT
Plant to Chanoa Capacity
Chang. In Ikvallabla !« ...... ""
Capacity IMaw
Capacity In HT)
I,.S
aaaon lor Char^a >
-------
CHAPTER 6
WASTE MINIMIZATION
A. INTRODUCTION AND OVERVIEW
EPA is in the process of defining a strategy for waste minimization. In
designing such a strategy, it is particularly important to distinguish between
short-term and long-term objectives. It is clear that in the short-term,
waste minimization efforts must concentrate on data development and
information transfer.
Information that discusses waste reductions technologies, as well as
statistics on the basic economic benefits of waste reduction is readily
available. What is not available is quantitative information, e.g., per unit
of production in specific industries, on waste generation and reduction that
has occurred. Without this information, it is impossible to determine whether
waste minimization activities are really occuring-or if the reduction is due
to reduced productivity, and in what sectors of the economy the reductions are
being made.
It is also accepted that the most positive change in waste management
takes place when generators eliminate or reduce the production of hazardous
waste. To assist regulatory agencies in their waste minimization efforts,
quantititative information on waste minimization activities must be reported
by the regulated community.
This chapter discusses how the requirements of EPA for more waste
minimization data mesh with the recommendations of the NGA Advisory Council.
A draft questionnaire form is presented, along with a rationale explaining the
questions that are asked and how the data will be used.
B. ADMINISTRATIVE REQUIREMENTS FOR THE DATA
Section 3002 (Standards Applicable to Generators of Hazardous Waste) of
the Resource Conservation Recovery Act (.also commonly referred to as RCRA,
from the 1976 Title of the statute, "Resource Conservation Recovery Act"), as
amended by the Hazardous and Solid Waste Amendments (HSWA) of 1984, states
that "the Administrator shall promulgate regulations establishing such
standards, applicable to generators of hazardous waste identified -or listed
under this subtitle, as may be necessary to protect human health and the
environment. Such standards shall establish requirements respecting...
(6) submission of report to the Administrator (or the State agency in any '
case in which such agency carries out a permit program pursuant to
this subtitle) at least once every two years setting out
(A) the quantities and nature of hazardous waste identified or listed
under this subtitle that he has generated during the year;
(B) the disposition of all hazardous waste reported under the
subparagraph (A);
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6-2
(C) the efforts undertaken during the year to reduce the volume and
toxicity of waste generated; and
(D) the changes in volume and toxicity of waste actually achieved
during the year in question in comparision with previous years, to
the extent such information is available for years prior to
enactment of the Hazardous and Solid Waste Amendments of 1984."
Requirements (C) and (D) of Item (6) were mandated by HWSA and became
effective in September of 1985. The 1985 Biennial Report was subsequently
modified to incorporate the two new waste minimization requirements. A
"narrative description" of both the efforts undertaken during the year to
reduce the volume and toxicity and the changes in volume and toxicity of waste
to previous years was required as part of the 1985 Biennial Report submission.
EPA has found it impossible, however, to analyze the "narrative
descriptions" that were submitted. Since there was no uniform reporting form
(except for a blank page) to report waste minimization practices, the
generators provided as little or as much information as they felt necessary to
fulfill the requirement. In general, however, generators failed to adequately
identify the waste that was reduced and the narrative descriptions provided
little detail on waste minimization techniques. Consequently, these forms
provided little useful information on waste minimization practices. Only a
few narrative descriptions actually provided documentation of changes in
volume and toxicity.
In view of this poor mechanism for reporting waste minimization
information and data, EPA is proposing to revise the Annual/Biennial Report
to: (1) streamline the waste minimization section to increase the likelihood
of the generator reporting the data and information fully and correctly; and
(2) ensure that generators report their waste minimization efforts in a
consistent format that lends itself to analysis. In turn, this will allow EPA
to assess the progress and trends in waste minimization and fulfill the
statutory requirements of the HSWA.
This information will be used in the development of a 1990 Waste
Minimization Report to Congress (RTC). In October of 1986, EPA submitted a
RTC on the desirability and feasibility of establishing "command and control"
regulations for the minimization of hazardous waste. This report was in
response to a statutory mandate in HSWA. The report concluded that existing
data and information on waste generation patterns were insufficient to
recommend a major new regulatory program in the area of waste minimization.
It was recommended that the Agency aggressively attempt to gather better
information and data on waste generation patterns and trends in order to
better understand the nation's hazardous waste generation profile and assess
the need for regulatory action. EPA committed to report back to Congress on
the need for command and control regulations by December 1990, the earliest
date that they felt a decision could be made.
In light of this commitment, it is essential that the Agency gather
comprehensive and uniform data in a consistent manner on waste generation and
minimization. The proposed Biennial Report form offers this opportunity by
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providing EPA with a consistent mechanism to collect and monitor hazardous
waste data and information.
In addition, it is anticipated that the reporting results from the revised
format will allow EPA to structure a more effective and comprehensive
information dissemination and technology transfer program on waste
minimization.
C. POLICY OPTIONS
This section briefly summarizes options which were considered as possible
approaches to the waste minimization section and discussed in the paper
presented at the Advisory Council meeting in May.
The first option is to repeat the 1985 Generator Biennial Report
Questionnaire and ask for a narrative description of all waste-minimization
activities. A slight variation of this would be to also ask TSD facilities to
answer a narrative question on their activities. The 1985Facilities
Questionnaire did not ask for any information on waste minimization.
One advantage to the narrative option is that it minimizes the burden on
respondents by allowing them to write whatever they wish. In some instances,
respondents have given very detailed accounts of their minimization activities
more information than would most likely be received in a question format.
The major disadvantage of a narrative is that it leaves to the discretion of
the respondents what information they wish to provide. This makes it almost
impossible for EPA to determine how minimization activities are occurring
nationwide.
Another alternative is one that is proposed by Exxon Corporation and the
Chemical Manufacturers Association. This proposal calls for dividing the
information requested into two parts; one for management practices for
minimizing waste and the other for information on waste-minimization results
for any two-year period that would allow comparisons. The reporting is to be
requested by year in tons and is to be divided into waste generated and wastes
disposed of. The second part also .requests information on the total
production of saleable goods from the facility, so that waste generation can
be calculated on a normalized, per unit of production, basis.
Two major advantages to this alternative are that the questions are short
and easy to understand, and that totals will be easy to aggregate and enter
into a national data system. The information received from this type of
reporting will be far more than EPA has received in the past.
The disadvantages to this option are that a lot of the specific details of
a facility's waste-minimization efforts will not be disclosed by simple
"Yes/No" responses, nor will it be possible to determine whether changes in
toxicity have occurred.
The third option, which reflects the comments of the Advisory Council and
meets the required data and information needs of EPA, is presented in the
draft proposed form. Many of the questions and the format are modified
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versions of New Jersey's annual waste-minimization report. This option
represents a compromise between minimizing reporting burdens and meeting the
data requirements of RCRA managers. The pros and cons of this option are
presented in greater detail in Section H.
D. DATA AND INFORMATION REQUIREMENTS
As discussed in Section B, Section 3002 (6He) and (d) of SWDA requires
EPA to promulgate regulations that require at a minimum biennial reporting of
efforts undertaken during the year to reduce the volume and toxicity of wastes
generated, and changes in volume and toxicity of waste actually achieved
during the year in comparison with previous years.
Six broad areas were found to be crucial to meet this intent of Congress
as well as fulfill EPA's need for waste-minimization data for regulatory
analysis:
The current status of the waste-minimization program;
Minimization practices;
Waste generation and management practices;
Production levels;
Past and future waste-minimization activities; and
Supplemental information that would allow analyses of health and
environmental impacts of treatment and disposal.
Under each of of these topics, additional detailed questions were required to
answer the six broad topic areas. More specifically, these requirements
address the need for information that establishes:
A baseline with regard to toxicity and volume of waste streams by
industrial category* geographic area and size, and unit of product
output;
A baseline .with regard to source reduction, recycling, treatment,
and disposal capacities for those waste streams;
Short term trends in these figures;
Changes in manufacturing processes that result in reduced
generation of waste; and
Changes in recycling, treatment, and disposal practices.
E. USEFULNESS OF CURRENT DATA
The best data available to EPA on the amount and content of hazardous
wastes were developed by surveys conducted in 1981 and 1983. These data are
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6-5
no longer current and are known to be of uneven quality because of reporting
errors and the small sample sizes from which the information was
extrapolated. Neither survey requested specific information on waste
minimization. As stated earlier, the narrative waste minimization information
reported on the 1985 Biennial Report is also of little use to EPA in
determining minimization practices.
Other potential sources for EPA to obtain information on waste
minimization data are the New Generator Survey, the TSD Survey, the Uniform
Manifest System, TSCA Section 8 Reporting Requirements and the SARA Title III
Toxic Chemical Inventory Form. Case studies and modeling activities are also
being developed by EPA's Office of Research and Development that will enhance
EPA's understanding of waste minimization. Although these sources will
provide some information to EPA that can then be used to meet the statutory
and regulatory requirements, the Biennial Report is believed to be the most
appropriate mechanism to receive complete information from all generators and
TSD's on a periodic basis. Information derived from TSCA Section 8 and the
SARA Title III Toxic Inventory Form will not be available in time to be
included in EPA's 1990 Report to Congress.
F. DESCRIPTION OF THE PROPOSED FORKS
In response to Section 3002 (6)(c), of the SWDA, a set of questions have
been developed to assess a generator's "efforts" toward waste minimization.
While some of these questions may be considered "soft information" they will
add to EPA's ability to understand waste minimization activities that are
occuring. In response to Section 3002 (6)(d) of SWDA, additional data
elements have been developed to assess the changes in volume and toxicity
actually achieved during the reporting year.
Described below are the proposed waste minimization components of the
Biennial Report and a justification for including the information on the 1987
Biennial Report form. As the proposed form is currently structured, there are
10 exclusive waste minimization questions and another 9 descriptors that are
needed for waste minimization analysis but are included on other proposed
forms. The waste minimization questions are included in the- special Waste
Minimization (WM) form. The descriptors are contained in the Waste
Description (WD), and Process Generation (PG) forms. For purposes of
discussion, this section lists the justifications for all of the questions and
descriptors that apply to waste minimization.
1. Waste Minimization Questions
Question 1; Does this facility have a written statement which outlines
goals, objectives, and practices of waste minimization? As part of tne
waste minimization manliest certification and as a condition for an on-site
treatment, storage, and disposal permit, generators must certify that they
have a waste minimization program in place. This question will identify those
generators that have made, at least in writing, a commitment to waste
minimization and have identified goals, objectives, and operational practices
for waste minimization.
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Information on the proportion and patterns of such commitments across the
nation are valuable for targeting public agency waste minimization programs.
Question 2; In the past two years, has this facility conducted a waste
minimization assessment that identifies ways to reduce the volume of waste
generated? An important first step towards achieving waste minimization is
to conduct a "waste minimization assessment" (WMA). An essential element of a
waste minimization program is the planning and execution of a WMA. The
primary objective of a WM\ is to reduce the quantity and/or toxicity of waste
leaving a production or manufacturing process. In many cases, the assessment
process, is the cornerstone of a generator's overall WM program. It provides
the key inputs for the generation of WM options, as well as the decision of
which WM measures should be implemented. Aggregate information, describing
who has conducted WNA efforts, and where, is useful to RCRA agencies for
planning waste minimization campaigns.
Question 5: Were any of the recommendations made in the waste minimization
assessment implemented?r=THeimplementation6Tanoptionoroptions
identified in a WMA is another indicator of a generator's commitment to waste
minimization and their acknowledgement of the benefits of waste minimization.
Question 4; Does this facility have a training and rewards program to
train employees on waste minimization and to encourage the identification ot
new ways to minimize hazardous waste generation? cine component of a waste
minimization program that has been identified by many industries as a key
element is an employee training and reward program for waste minimization. It
is important for management to make the commitment to minimization. The most
effective way management can do this is by training employees and by rewarding
those that do a good job. In addition, it creates an overall awareness at the
facility of the importance of waste minimization. The establishment of a
training/rewards programs within a company is considered a strong effort in
waste minimization.
Question 5; Has this facility utilized the services of a Waste Exchange or
a Waste Broker to minimize the amount of hazardous waste to be treated,
stored, or disposed of?--Thisinformation willdemonstrate the number of
facilitiesthatareutilizing the services of a waste exchange or waste
broker, and if the services are being provided only to a select group of
industries, in one region of the country. The data can then be used to
encourage other markets for these services in other regions of the country as
what is "waste" to one firm may be of economic value to another. Waste
minimization can be accomplished by putting waste materials to use and
information describing the extent to which "exchanges" are undertaken is
valuable for public agencies planning waste minimization programs, and
evaluating their success.
Question 6; Has this facility applied for and/or received technical
assistance, monetary grants, or benefits from States to implement techniques
to reduce the volume and/or toxicity ot the hazardous waste generated? It
Tsimportanttoknow whetherfacilitiesareseekingoutsidesources for
assistance on waste minimization in order to develop a profile of "efforts"
made to minimize hazardous waste. Company inertia, lack of information and
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6-7
resistance to change have been identified as the three major stumbling blocks
to waste minimization. This question will also determine whether or not the
need for outside sources/funds is also a major stumbling block to implementing
waste minimization.
Question 7; Has this facility ever received any information or technical
assistance on waste minimization that has resulted in waste minimization? It
yes, indicate how that information was obtained. This question is important
for gaining an understanding of how current information is being disseminated
and will allow EPA to target the transfering of waste minimization information
in the future.
Question 8; Why were waste minimization programs implemented at this
facility? -- This question isimportant because it enables EPA to understand
thereasons why waste minimization activities are occuring. EPA can then
encourage other facilities to implement such programs showing nationwide
statistics on why others are implementing programs. It will also enable EPA
to target their research and development efforts on those activities that are
known to be well received.
Question 9; What effect does this facility's waste minimization programs
have on the quantity of water effluent generated? ~ In discussing waste
minimization activities for RCRA waste it isimportant to understand whether
those activities have also meant an increase in pollutants that are not
regulated under RCRA. It is therefore crucial to have some indication of
whether there has been any increase in the quantities of waste water that will
also need to be properly disposed of, so that waste minimization activities
can be properly targeted.
Question 10; What effect does this facility's waste minimization programs
have on air emissions? In discussing waste minimization activities tor KLKA
waste it is important to understand whether those activities have also meant
an increase in pollutants to another media that may be less stringently
regulated. If RCRA waste is being reduced at the expense of increases in air
emissions then waste minimization activities will need to be refocused.
2. Other Waste Minimization Descriptors
Descriptors from other forms that apply to waste minimization are listed
and justified below:
EPA Hazardous Waste Number -- It is a regulatory requirement that a
generatoridentifyhazardouswaste generated by the EPA Hazardous Waste
Number. For waste minimization it is important to know the particular type of
waste generated.
A/B Waste Description Code EPA has developed a complementary coding
system for hazardous waste providing additional physical state and chemical
nature data. This new information will be important in attempting to assess
the nation's hazardous waste profile. This profile, in turn, will be
important when considering priorities for regulatory action in waste
minimization.
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6-8
Narrative Description of Waste Generating Process -- It is important from
a waste minimization perspective to know where the waste is coming from. Not
only is this information required under Section 3002(6)(D) of the SWDA, it is
important for EPA to have this information when they assess the need for waste
minimization regulations.
The information required after identifying the waste by the EPA hazardous
waste codes, is "how" or "why" the waste was generated. Without this
information, it is difficult to determine whether a waste code refers to a
manufacturing process residual, contaminated material, etc. This information
is already provided for some listed wastes, however problems have occurred
when the "characteristic" wastes are reported. This "field descriptor" will
allow for a description of all the waste generating processes for all wastes
using a narrative.
4-digit SIC code -- The Standard Industrial Classification (SIC) Code is a
classification structure which categorizes industries on the basis of their
principal product or activity. The purpose of the SIC is to facilitate the
collection, tabulation, and analysis of data for promoting uniformity and
comparability in the presentation of statistical data.
For waste minimization purposes, the (450) four-digit SIC Code for
generators will be used to provide baseline information on particular
industries. Such baseline data is valuable for focusing attention on waste
minimization potentials for certain generators. The advantage of a 4-digit
SIC over a 2-digit SIC is that with the 4-digit, one is able to determine more
precisely the industry that is involved. For example, SIC 34 represents the
fabricated metal products industry, whereas SIC 3471 refers more specifically
to the electroplating, polishing and coloring industries.
Another option to the 4-digit SIC code is the 7-digit SIC code. The extra
information that would be described in the last 3-digits would allow
comparisons of the processes the industry is using. Although this information
is crucial for waste minimization analysis, it is expected that the previous
descriptor, requesting a narrative description of the waste generating
process, will satisfy this requirement. It is also believed to be much easier
for most generators to complete. Although economic information on particular
production processes by 7-digit SIC code is reported annually to the Bureau of
Census, for the purposes of the Biennial Report, most generators will have a
difficult time determining their correct 7-digit SIC product code from the
11,000 categories available.
Source Code In order to understand the nation's hazardous waste
generation profile, it is important to know why the waste was generated. In
assessing the need for waste minimization regulations and targeting them, it
is essential to know, for example, whether the waste came from a
manufacturer's degreasing operations or is a residual from waste treatment.
Waste minimization potential is dependent upon the origin of the waste.
Current Year Quantity Generated and Previous Year Generated -- It is a
requirement that a generatorreportthe changesin volume and toxicity of
waste actually achieved during the year in question in comparison to previous
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6-9
years. In fulfillment of this requirement, it is recommended that generated
wastes be reported for 1986 and 1987. It is important for some unit of
measure (e.g., gallons, tons, etc.) to be reported along with the generation
quantity in order for the information to be analyzed properly.
Productivity Code -- In order to accurately assess patterns in waste
generation,it is essential that one take into account production variations
over time. For this reason it is important to normalize waste minimization
data in terms of the ratio of units of waste to units of production. For
example, an industry may experience a production growth of 150% with a
subsequent 150% increase in waste generation. In terms of units of waste per
unit of production no change is evident. However, if some waste minimization
technique has been implemented, this would be illustrated in their
waste/production ratio.
For these reasons, it is important for EPA to have an indication of
economic activity and its relationship to hazardous waste generation. In the
revised Biennial Report, an economic activity ratio for each of the wastes
reported is proposed.
To preserve confidentiality, the production data will be reported as a
ratio of the 1987 production generating that particular waste to 1986
production. This is the same as assuming that the 1986 production is a base
year with the value of 1.0. An example of the production ratio follows for a
D002 waste field description:
1986 production of widget x = 10.5 million
-- 1987 production of widget x = 12.5 million
-- 1987 production ratio for D002 waste = 12,500,000 / 10,500,000
=1.19 normalized 1987
production for D002 waste
from the production of widget
x
In the revised biennial report it is proposed that for each waste reported
an economic activity ratio also be reported.
Reasons for Change in Quantity In the absence of production
fluctuations, ft is important for EPA to know why waste generation rates
increased or decreased. Therefore, the revised reporting form provides a
coded list of reasons, including waste minimization, to describe these
fluctuations. This type of information will allow EPA to more accurately
assess the national waste generation profile and determine what decreases in
waste generation can be attributed to waste minimization, production
variation, or some other reasons. The codes being proposed are the following:
Equipment modification
Process modification
Raw material substitution
Product substitution
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Good housekeeping and improved handling
On-site recycling or reclamation
On-site burning in boilers
Off-site recycling or reclamation
Off-site burning in boilers
Accumulation of wastes
Wastewater treatment on-site
Air Pollution control on-site
Modifies hazardous waste management methods
One-time quantify
Other
Reasons for Qiange in Toxicity --The regulatory requirement for waste
minimization requires that a generator describe the changes in "toxicity" of
the waste actually achieved during the year in comparison to previous years.
Although changes in toxicity are difficult to measure, we are proposing that
generators report changes in percent toxicity from 1986 to 1987 for each waste
that is reported.
G. SAMPLE OUTPUTS AND USES OF THE DATA
Some of the major uses of waste minimization data from EPA and the State's
standpoint are: the ability to disseminate the information learned to
facilities that will incorporate the successes into their own programs; and to
use the data to effectively manage a regulatory waste minimization program.
In addition, EPA must also collect this data so that they can report to
Congress in 1990 the status of our nation's efforts to reduce the volume and
toxicity of hazardous waste.
Without baseline minimization data it is difficult to assess whether there
is a need for Congress or EPA to enact new mandatory waste minimization
measures or if the regulated community is making the best effort possible in
the most reasonable time-frame.
It will also be impossible without a baseline of quality data on waste
minimization activities to set priorities for technical assistance programs
either at the state or federal level to promote source reduction and recycling
programs. This data will also enable EPA to target research and development
efforts that will be the most successful in reducing threats to human health
and the environment.
H. PROS AMD CONS OP PROPOSED SYSTEM
The pros and cons of the proposed system are listed below.
1. Pros
o For the first time, a comprehensive national database on waste
minimization activities will exist. The information will satisfy
the needs of program managers conducting regulatory analyses and
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developing regulations, and will provide EPA with the information
necessary to report to the Congress.
The 10 exclusively waste minimization questions are easy to
understand and complete, and national totals will be easy to
aggregate and enter into a national data system.
Detailed, clearly defined questions are less likely to be
misinterpreted than the existing narrative question.
The information compiled will be useful to EPA and the state
agencies for planning public waste minimization activities, and
gauging their effectiveness.
Waste generators will be able to cite, and quantify, the positive
nature of their waste minimization handling actions.
2. Cons
There will be a greater processing burden for states that are not
already collecting this level of information, but this will be
minimized by providing software designed for ease in data entry*
There will be a greater reporting burden for the respondents, since
the form requests information from two calendar years.
The questions asking for: (1) a percent change in toxicity, and (2)
productivity ratio by units of waste/units of production, are
difficult to answer and may result in incorrect responses.
The relatively extensive list of questions and descriptors will add
to the bulk of the questionnaires, and may lead to incomplete or
credible reporting.
The "soft" nature of the questions may encourage respondents to
"stretch" facts in order to claim credit for positive actions.
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CHAPTER 7
ANNUAL/BIENNIAL REPORTING SYSTEM
1987 DATA ENTRY/VALIDATION/RETRIEVAL SYSTEM
A. _ PROJECT OVERVIEW AND SYSTEM CONCEPT
The Office of Solid Waste (OSW), EPA's Regional Offices, the states, and
interested outside parties are cooperating in revising the RCRA Annual/
Biennial Reporting System. Problems with the current reporting system fall
into two general categories:
Reported data are inconsistent across states and are
often insufficient to support necessary analyses; and,
The quality of data provided to EPA is inconsistent
across states.
The National Governors' Association, through its Reporting System Advisory
Council, is assisting OSW in addressing the first problem area by facilitating
the identification and development of commonly defined data elements to be
obtained through a reporting system that serves impleraentor and oversight
needs. To date, the Advisory Council has identified the general information
objectives to be fulfilled by the reporting system, and provided guidance on
specific data elements that should be included in the revised reporting
system. The draft revised forms discussed in the previous six chapters (and
presented in Appendix A) are designed to fulfill the stated objectives of the
biennial reporting system and reflect the guidance provided by the NGA
Advisory Council.
To address the reporting system's second problem area, OSW has undertaken
the development of specifications for an automated data processing system to
accompany the reporting forms once they are finalized. These specifications
are being developed to assist implementors (states and EPA Regional Offices)
in their management of reported data and to promote consistent entry, editing,
validation, and retrieval/transmission of reported data across the 56 states
and U.S. territories and the 10 EPA Regional Offices. The project entails
development of formal functional specifications for the management of reported
data, and also includes delivery of an actual programmed system based upon
these specifications. Once the functional specifications are finalized,
implementors will have three options:
Adopt OSW's programmed system as is, for use in their
states (augmented, as desired, to address State-specific
reporting requirements);
I
Develop their own automated systems based upon the functional
specifications provided through this project; or,
Process reported data manually in accordance with the
specifications developed through this project.
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The purpose of this chapter is to provide an overview of OSW's 1987
Biennial Report system development effort, to outline the major components
that are currently proposed for inclusion in the system, and to solicit
comments on a number of issues that must be resolved in developing the final
specifications for the data processing system.
Data management under the RCRA Annual/Biennial Reporting System conforms
generally to the two-domain concept: data are obtained and processed at the
implementor level (states and EPA Regional Offices), and certain data (core
data) are transmitted to the oversight level (OSW). Data obtained through the
system support functions in both domains. The two domain concept also forms
the basis for development of the new Resource Conservation and Recovery
Information System (RCRIS), which is intended to replace the existing
Hazardous Waste Data Management System (HWDMS). Data obtained through the
reporting system are intended to update and augment data residing in RCRIS.
Development of system specifications under the two domain concept is
proposed to occur in four phases:
Phase 1: Implementor Data Entry and Key-Entry Editing --
Specifications will be developed for screen entry of reported data
into automated files, based upon the final reporting forms
recommended by the NGA Advisory Council. Specifications will also
be developed for simple editing of entered data to ensure automated
processing of data provided by handlers on report forms.
Procedures will also be developed for loading automated data
provided directly by handlers (electronic reporting).
Phase 2; Implementor Data Validation Data validation by
implementors isthe keytoqualitycontrol in the reporting
system. Specifications will be developed to check each handler's
reported data for internal consistency and consistency across
handlers within each state (intra-state consistency).
Specifications will also be developed to compare reported data with
external data sources, including Notification and Permit
Application files, inspection records, etc. The system will be
designed to assist implementors in identifying problems and in
establishing priorities for follow-up.
Phase 3; Implementor Data Retrieval and Transmission
Specifications will bedevelopedForstandardretrievals and
reports, ad hoc queries, transfers to RCRIS, and transfers to the
oversight domain.
Phase 4; Oversight Data Automation, Auditing, and Retrieval
Specificationswill bedevelopedForautomatingdatathat are
transmitted to oversight in manual form, for auditing routines that
ensure transmitted data are of specified quality and that perform
inter-state consistency checks, and standard/ad hoc retrieval of
oversight data.
OSW is proposing to develop the system specifications and the programmed
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system based upon those specifications in phases in order to deliver the
earliest components in time for use by states and Regions during their
processing of 1987 reporting data. Life cycle management guidelines are being
followed in the development of each system component, including extensive
third-party testing. A detailed project management plan has been developed to
ensure that system components are completed in sufficient time to allow for
training implementors in-the use of each component before it is actually
employed (a copy of the entire project management plan is provided in Appendix
Attachment D). Proposed release dates for the each component of the fully
programmed and tested system are as follows:
Implementor Entry/Editing: 1/21/88
Implementor Data Validation: 4/04/88
Implementor Data Retrieval: 4/15/88
Oversight Auditing/Retrieval: 6/29/88
Fully developed functional specifications for each implementor component
will be released considerably earlier to States that choose to program their
own systems.
B. SYSTEM OVERVIEW AND DATA FLOWS
To provide a proper understanding of the Biennial Report data system, it
is important to understand both the interface with the "outside world" and the
structure of the system itself. We provide this understanding through the use
of diagrams that depict the components of the system, relevant external
entities, and data flowing among them. Included here are three such diagrams
(Figures 7-1, 7-2, 7-3). These diagrams are intended to provide an overview
or logical description or the system. Detailed diagrams and definitions are
found in Appendix C.
The diagram appearing in Figure 7-1 depicts the two domain concept and the
external entities which interface with each of the domains. These external
entities represent the sources and destinations of reporting data. The
processes labeled 100 and 200 represent the processing done by the implementor
domain and the oversight domain, respectively. Each of these processes is
presented in detail in the following two figures.
Figure 7-2 illustrates how the three components of the implementor domain
described previously (data entry, validation and reporting) are related to
each other and to the implementor domain. The diagram shows that the handler
is the primary source of system data and traces the flow of the data through
the validation process and to the storage and retrieval module. The arrows
represent the flow of data between processes. The validation process depends
on both data provided by the data entry component and external sources of data
which are used for comparison.
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7-4
FIGURE 7-1
ANNUAL/BIENNIAL REPORTING
PROCESSING OVERVIEW
EE 6
EXTERNAL
IMPLEMENTOR
DATA
SOURCES
External
Implement or
. Data
IEE i
Annual/Biennial
fleoort Form _
RESPONDENT m
(HANDLER)
EE 2
IMPLEMENTOR
USE OF
REPORTS
i
1
Imp leu
Report
100
IMPLEMENTOR
HANDLING OF
DATA
EE 4
RCRIS
IMPLEMENTOR
DOMAIN
I
entor ;
3 I
laplementor
Domain
RCRIS Data )
Transmitted
Oversight
Data
External
Oversight
Data
200
OVERSIGHT
HANDLING
OF DATA
Oversight
Domain
BCHIS Data
Oversight
Reports
EE 7
EXTERNAL
OVERSIGHT
SO°UARTCAES
EE 3
OVERSIGHT
USES OF
DATA
EE 5
RCRIS
OVERSIGHT
DOMAIN
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7-5
FIGURE 7-2
EE 6
EXTERNAL
IMPLEMENTOR
DATA
SOURCES
EE 1
RESPONDENT
(HANDLER)
Annual/Bienni
Report Forn
EE 2
MPLEMENTOR
USE OF
REPORTS
External
Inplementor
Data
IMPLEMENTOR
100.2
VALIDATE
DATA
EE 4
RCRIS
IMPLEMENTOR
DOMAIN
Imp lenient on
Reports
HANDLING OF DA11A
Inplementor
Domain
RCRIS Data
Validated
Data
Implementor
Data
Dl IMPLEMENTOR DATA BASE
Transmitter
Oversight
Data
200
OVERSIGHT
HANDLING
OF DATA
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7-6
FIGURE 7-3
EE 7
EXTERNAL
OVERSIGHT
DATA
SOURCES
/'ZOO
Transmitted
Oversight
Data
OVERSIGHT HANDLING OF DATA
External
Oversight
Data
200.1
RECEIVE
OVERSIGHT
DATA
Received
Data
Oversight
Data
201
Audited
Data
.3
STORE
S
RETRIEVE
OVERSIGHT
DATA
Oversight
Domain
RCHIS Data
Oversight
Reports
02 OVERSIGHT DATA BASE
£ 3
OVERl__
USES OF
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RCRIS
ERSI
DOMAIN
OVERSIGHT
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7-7
Validated data is then shown flowing to the storage and retrieval
process. This process contains all subprocesses which perform standard
retrievals and reports, ad hoc reports, and interactive queries. In addition
to reporting, this diagram also shows that the storage and retrieval process
maintains the implementor data base and provides a mechanism for the transfer
of Annual/Biennial Report data to the implementor domain of RCRIS. The nature
of the transfer has not been determined this diagram only serves to present
the requirement of an interface with RCRIS.
Oversight domain processing is shown in Figure 7-3. This diagram, which
closely parallels Figure 7-2, depicts data being accepted from the implementor
domain through an unspecified mechanism. Within the oversight domain, one can
recognize the three processing components: acceptance, auditing, and
reporting. No component for data entry is specified at the oversight domain.
However, a similar process for acceptance (entry) of the data from the
implementor domain must be provided to enable the oversight domain to accept
data from implementors in manual form.
There is no distinction at this point whether the data accepted has been
manually collected or automated. The intent of the data flow is to present
the requirement for some type of transmission of data from the implementor
domain. The figure illustrates the flow of data from the acceptance process
through the oversight domain auditing process which enforced quality assurance
requirements. Like the validation process in the implementor domain, this
process depends on external sources of information for comparison.
In the oversight domain, the storage and reporting process is very much
similar to its counterpart in the implementor domain. Reporting is provided
for, as is maintenance of the oversight data base and interface with the RCRIS
oversight domain. The oversight data base will also be available for query by
implementors seeking information about handlers or activities beyond their
boundaries.
These diagrams depict the two domains and the three types of- components
within each domain. More detailed diagrams are provided in Appendix C. The
Appendix also contains the current system specifications in the form of a data
dictionary, where each external entity, process, data store, and data flow is
described in detail.
C. ISSUES
The following discussion addresses two major issue areas involved in
developing the automated system requirements for the revised RCRA
Annual/Biennial Reporting System: (1) data flows from implementors to
oversight; and (2) the nature of the operating environment to be supported by
the system. Various options for resolving the specific issues in each of
these areas are presented in the following sections, along with a specific
recommendation for each. The recommendations presented represent choices
deemed most appropriate by the project team based on assumptions made and
facts currently available, and are intended as a starting point for discussion
at the next meeting of the Advisory Council.
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7-8
1. Data Flow From Implenenters to Oversight
The two-domain nature of the reporting system requires that decisions be
made concerning the specific roles to be played, or functions to be performed,
by implementors and overseers. Similar decisions are also required concerning
the extent and nature of data that will reside in each domain and data that
are to be passed between domains.
Three major types of data exist within the two-domain system:
"irapleraentor" data (data, which may or may not be commonly defined, that are
obtained by implementors and retained exclusively in the implementor domain);
"core" data (commonly-defined data that are obtained and processed by
implementors and transmitted to oversight); and "oversight" data (data that
are obtained and processed directly by oversight without irapleraentor
involvement). Roles and responsibilities of implementors and overseers vary
with each type of data. Development of system specifications is therefore
dependent upon resolution of several specific issues:
Designation of "Core" Data Elements Which of the data
elements included in the final report forms should be
designated as "core" for required transmission from
implementors to oversight?
Level of Transmitted Data Are implementors to transmit
coredataatth"ehandler level (validated case records) or
aggregated by state?
Mode of Transmission Are core data to be transmitted
in automated or non-automated (manual) form?
Quality Requirements for Transmitted Data What quality
requirements should b~eplaced on core dTta that are to be
transmitted from implementors to oversight?
Designation of Core Data Elements. Core data elements are often a subset
of commonly-defined elements that implementors are required to obtain, process
in accordance with specified criteria, and transmit to the oversight domain.
The draft reporting forms accompanying this report represent the set of
commonly-defined elements to be obtained by implementors through the reporting
system. Which of the elements included in the forms are to be designated as
core?
Option 1 All elements included in the model reporting forms
developed by the Advisory Council are designated as core.
Option 2 Only a subset of elements included in the model
reporting forms are designated as core. Remaining elements are
either retained at the impleraentor level or transmitted to
oversight without validation by implementors.
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7-9
Recommendation: Option 1.
Oversight participants on the Advisory Council have approached the
development process of the forms from the perspective that all elements
included would be obtained and processed by implementors and transmitted to
oversight. Elements included in the forms are intended to support iraplementor
and oversight data needs, including developing program management, regulatory
development, and program evaluation information. It is anticipated that
implementors may obtain state-specific data in addition to those elements
included in these reporting forms. These would represent the types of data
that would not be transmitted to oversight. In addition to other types of
data, implementors may require additional handlers to complete the report
forms beyond those designated in the federal Who Must File section (e.g., many
states are expected to require RCRA Small Quantity Generators to complete the
Primary Generation, Waste Description, and Shipped Off-site forms, even though
federal requirements for such forms do not apply to such generators). In
these cases, data reported by additional handlers would not be included within
the core designation, even though they are the same data elements.
Implementors that desire to obtain such data would not be required to process
them according to the standard specifications and would not be required to
transmit them to the oversight domain.
Since the draft reporting forms essentially specify oversight data
requirements, any data not obtained, processed, and transmitted to oversight
by implementors would have to be obtained and processed directly by
oversight. There would be high probability of duplication in data collection
under such conditions, unless the elements in question are truely "stand
alone" items. An alternative is for implementors to obtain certain elements
in conjunction with the other elements obtained through the reporting system,
and pass them through to oversight with out validating them (similar to the
way the Waste Minimization statements were managed in the 1985 reporting
cycle).
This alternative increases the processing burden at the oversight level,
and presumes that impleraentors have no need or use for such elements. The
purpose of the NGA Advisory Council process, however, has been to identify
those elements that are of common interest to implementors and overseers. It
is hoped that implementors will agree that all elements included in the final
report forms are of sufficient value to be designated as core.
Level of Transmitted Data --
Option 1 Core data are to be transmitted to oversight
at the handler level (validated case records).
Option 2 Core data are to be aggregated by state (after
validation) prior to transmission to oversight.
Recommendation Option 1
Prior to the 1985 reporting cycle, implementors transmitted data to
oversight exclusively in aggregated (summary) form. These summary data proved
difficult to work with at the oversight level. Summary data are difficult to
assess from a quality control perspective and even more difficult to rectify
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7-10
once errors have been identified. Problems with summary data were so
difficult to pin-down and resolve in 1983 that no national summary report was
produced. In response to this problem, OSW began in the 1985 reporting cycle
to require impleraentors to transmit certain handler-level data in addition to
the summary data. The handler-level data allowed for many internal
consistency checks to be performed that were not possible at the oversight
level in 1983. Accordingly, OSW has greater confidence in the 1985 reporting
data, and expects to be able to release a 1985 national summary report in
August.
In addition to the quality control problems associated with aggregated
data transmissions, summary data are much less useful in supporting the varied
types of analyses performed at the oversight level. Handler-level data are
considerably more flexible, allowing users to sort and select data differently
for different purposes. Finally, transmission of handler-level data to
oversight will provide for establishment of a national waste flow data base
that may be called upon by implementors in assessing interstate flows that are
of concern. Confirmations that out-of-state shipments were actually received
would be possible under such a system.
Accordingly, OSW proposes to eliminate summary reporting requirements in
favor of obtaining validated core data at the handler level.
Mode of Data Transmission
Option 1 -- Implementors are required to automate all
core data and transmit them to oversight in automated form.
Option 2 -- Implementors are required to transmit core
data to oversight in manual (hard copy) form.
Recommendation Implementors are requested, but not required, to
automate core data and transmit them in automated form. Core data that are
not automated may be transmitted in manual form, to be automated in the
oversight domain.
Oversight uses of reporting data, particularly handler-level data, require
that data be automated. Many implementors also find automation of reporting
data to be essential. None the less, not all implementors currently automate
reporting data. Rather than impose mandatory automation requirements on
implementors that may not have the capacity to do so, OSW proposes to accept
core data in manual form where such data are not automated. Where reporting
data are automated, OSW obviously prefers have core data transmitted in
automated form. As referenced in previous sections of this chapter, the
oversight component of the data processing system will include a data
automation function to accommodate transmission of manual data from
implementors that can not or choose not to automate their reporting data. OSW
recognizes that supporting an automation component will be more expensive than
requiring implementors -to automate. However, iraplementors are not as yet
required to transmit automated data under RCRIS, and will not be required to
do so under the reporting system.
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7-11
Quality Requirements for Transmitted Data
Option 1 -- Iraplementors transmit to oversight only those data that
meet QA/QC specifications. Data that do not meet QA/QC
specifications remain in the implementor domain until sufficiently
validated.
Option 2 -- Implementors transmit to oversight all required data.
Data that do not meet QA/QC specifications are either flagged by
implementors or identified and flagged through oversight auditing
processes.
Recommendation Option 2.
Under Option 1, the oversight data base contains an incomplete set of
fully validated data. Under Option 2, the oversight data base contains a
complete set of all required report data, but not all of the oversight data
are validated. If it is assumed that implementors have sufficient resources
to validate all required data to specified QA/QC levels, Options 1 and 2 are
identical. It is more likely, however, that implementors will face resource
limitations that constrain their ability to fully validate all data that are
required to be transmitted to oversight. In fact, the design of the automated
data processing system is based on the assumption that implementors will want
to use the system to establish priorities for their expenditure of time and
resources in validating reported data (e.g., rank problem cases by size to
ensure that the most important errors are addressed first; address problems at
sites with history of compliance problems, etc.).
The advantage of Option 2 over Option 1 is that a complete data set
containing some amount of unvalidated data provides greater latitude to
overseers in conducting population analyses. If desired, analyses may be
limited to data that do meet QA/QC specification (flagging mechanisms or QA/QC
checks built into the analytical routines themselves). In this case, the
analyses conducted under Option 1 and Option 2 are identical. Under Option 2,
however, unvalidated data may be incorporated into analyses under varying
degrees of qualification. For example, data within */- X of QA/QC
specifications may be incorporated into one analysis, while data with +/ 3X
may be incorporated into another analysis. Results of each analysis can be
appropriately qualified. Additionally, under Option 2, analysts may replace
unvalidated data with assumptions informed by the unvalidated data, as opposed
to making the blind assumptions necessitated under Option 1.
Accordingly, OSW proposes that iraplementors transmit to oversight all
required data (Option 2). Data that do not meet QA/QC specifications can be
flagged either by implementors or in the oversight domain through the use of
the auditing process. It is important to clarify, however, that primary
responsibility for validation of core reporting data remains at the
implementor level. Implementors are "owners" of core data and as such are
responsible for their upkeep. Oversight may assist implementors in
identifying data quality problems (particularly in the case of interstate
inconsistencies). But responsibility for responding to or following-up on on
identified problems remains at the implementor level. Recognizing that
implementor resources are
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7-12
limited, however, oversight may also assist implementors in actual follow-up.
Such arrangements need to be negotiated on a case-by-case basis, as oversight
resources are also limited.
2. Operating Environment Specifications
As indicated in section A, the primary product of this project is a set of
processing specifications which are to be applied to the data collection,
entry, validation, and reporting process. Because EPA has judged that it
would speed acceptance of those specifications, EPA will also deliver a
computerized system which implements them. This system may be used for actual
processing of the data. However, it will also serve as a prototype of the
specifications for those states choosing to develop their own system in-house.
A second issue, of special interest to those states likely to adopt EPA's
processing system, is that of hardware/software specification. It is
important to thoroughly consider the operating environments EPA has the
resources to support. Determination of operating environment specifications
has impacts on other decisions yet to be made, such as language or data base
package selection, data transmission capabilities, provision for data
conversion facilities, and alternatives for data collection. The two issues
which need to be addressed are:
Hardware Environment Specification -- What hardware environment(s)
will be directly supported by EPA for implementors using
EPA-supplied software?
Software Specification Given that hardware requirements have
been decided upon, what language(s) will be used to implement the
system on that hardware?
Hardware Specification
Option 1 Implement the system on microcomputers. This option
would specify that EPA would support running the EPA-supplied
software on designated PC's.
Option 2 Implement the system on the NCC mainframe.
The system would be implemented on the IBM mainframe at
NCC. Access to this system would be provided through
telecommunications and the time-sharing feature of the system.
Option 3 ~ Implement the system on the Regional LMF's. States
would access the EPA-provided system by way of EPA Logical
Mainframe (LMF) network.
While generally it is preferable to perform software selection prior to
determining hardware specifications, because of the diverse potential user
base which will need to be supported and the. limited universe of candidate
hardware, the system definition process must depend on the hardware already or
easily made available.
-------
7-13
The most accessible piece of hardware is the PC. Based on recent data, an
IBM PC/AT, COMPAQ Deskpro 286 or 386 or equivalent will be required to store
and manage information of the estimated volume with reasonable response time.
This type of computer seems to be widely available and, where not immediately
accessible, it is generally the easiest type of hardware to acquire. However
due to storage and processing limitations of PCs, it is clear that the larger
states' data cannot be managed on PCs alone.
The second alternative is to provide sufficient access and resources on
Regional logical mainframe (LMF) computers for data entry and management.
While specific cost data has not been developed, it is generally very
expensive to use a mainframe for extensive data entry activities. Data entry
uses little processing power and it requires an insignificant number of
input/output (I/O) transactions. The primary cost is the connect time and the
overhead cost of running and monitoring an interactive session. The cost is
high relative to the amount of computing performed and the data entry session
uses system resources even if little activity takes place. In addition, for
most local data entry sites telecommunication links must be established and
proper equipment obtained.
The third alternative is the use of the EPA mainframe at NCC. The
inefficiency of the previous alternative is present here. Each data entry
user new to NCC would need to gain access through a port in EPA's network
topology. This may require obtaining communications processors or may mean
suffering from limited terminal capabilities where this equipment is
unavailable.
It is clear that, for the larger states at least, that PCs will not
provide all the resources necessary to store and manage the volume of data
projected. Similiarly, it does not seem like a reasonable alternative to
propose that data entry activity be implemented on mainframe computers. Some
hybrid solution seems to be required. Implementors themselves may be in a
position to provide mainframe computing capabilities for this effort. Support
of mainframe computers at the implementor level will depend on such factors as
compatibility with EPA standards for mainframe computing and the availability
and accessibility of that equipment to implementation personnel. Where local
mainframe equipment is incompatible or unavailable, computing resources must
be provided through EPA's logical mainframe network. To take advantage of the
characteristics of each type of hardware environment, the system must be
designed to provide for data entry on the PC and data management and reporting
on a mainframe computer. This implies the need for file transfer capability
between PC and mainframe.
Recommendation ~ The recommended approach is for EPA to develop a system
which"has thetime-intensive components (namely, data entry) running on
microcomputers and the storage and processing-intensive components running on
the NCC IBM mainframe. The actual components which will need to run on the
mainframe may vary by state. This alternative requires that the system be
easily ported between mainframe and micro and be designed in a highly modular
fashion.
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7-14
Software Environment Specification -- Such an implementation will require
the implementation of two systems -- one to execute on the microcomputer and
one for the mainframe ~ or the development of a single system which will
execute on both micro and mainframe hardware. FOCUS, a fourth-generation
package with data base management and reporting as its central feature, is
approved by the EPA for use in both hardware environments. FOCUS has had
recent exposure and use in data entry and management applications in support
of OSW projects, including RCRIS. It therefore seems that to implement the
hybrid PC/mainframe approach dictates the use of FOCUS as the data management
environment.
Recommendation -- It is recommended that the system be implemented on a PC
using FOCUS. For larger states, a procedure will be developed to allow the
data entry to be performed on the PC and a mainframe will be used for data
storage, validation, reporting, and manipulation. This is similar in concept
with how HWDMS data entry is implemented presently. All states' data will be
stored on the NCC mainframe in the form of a national data base when
complete. It may be possible for smaller states to perform all three
activities: entry, validation, and reporting on the PC.
National reports and inter-state comparisons will be obtained from this
data base. Data for states which choose not to or not able to automate the
data entry or validation processes will provide required information to EPA.
EPA will be responsible for entry of this data into the national data base.
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**+*
National Governors' Association BUI ointon
Governor of Arkansas
Chairman
Raymond C Scheppach
Executive Director
APPENDIX A
1987 Biennial Report Draft Forms
HALL OF THE STATES 444 North Capitol Street Washington, D.C. 20001-1572- (202) 624-5300
-------
PLACE IDENTIFICATION LABEL HERE
OR
ENTER YOUR EPA ID NO.
Form
1C
Identification
and
Certification
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1987
DRAFT
IDENTIFICATION AND CERTIFICATION
READ COMPLETE INSTRUCTIONS ON PAGES TO
Note: 1) Please answer all questions below, providing corrected information as necessary.
2) All terms in Italics are defined on Page _ of the instructions.
Is the information on the Site Label correct?
LJ YES
| | NO -> Please enter corrections ->
Site Name
Site Street Address
Site Street Address
City
Site EPA ID
State
i i i i i i _ i i i i i
ZIP Code
2. In what County is this Site located?
County Name
3 What is the Name, Title, and Phone Number of the person to be contacted with questions regarding the
information in this report?
Last Name
First Name
M.I.
Title
(Area Code) Phone Number
[OVER]
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PLACE IDENTIFICATION LABEL HERE
QB.
ENTER YOUR EPA ID NO.
Form
FS
Form
Selection
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1987
DRAFT
FORM SELECTION
READ COMPLETE INSTRUCTIONS ON PAGES TO
Note: 1) Use this page to determine which forms must be completed for this site.
2) Answer questions 1,2, and 3, and all sub-questions as the directions indicate.
3) All terms in /ra//cs are defined on Page of the instructions.
During the reporting year, did this site generate hazardous waste in sufficient quantities to be subject to Full RCRA
Regulation, and were at least some of these quantities generated from Primary Sources'? [Note: Conditionally
Exempt Small Quantity Generators, RCRA Small Quantity Generators, generators regulated ONLY by their State,
and facilities which generate hazardous wastes ONLY as the result of hazardous waste processing should answer
NO to this question.]
| | YES~> Complete:
Go to 2.
| | NO-> Go to 1 A.
Form WD: Waste Description
Form PG: Primary Waste Generation
Form WM: Waste Minimization
1 A. During the reporting year, did this site generate quantities or types of hazardous wastes
subject to reporting only by this State?
| | YES-> Complete: Form WD: Waste Description
Form PG: Primary Waste Generation
Go to IB.
| | NO-> GotolB.
1B. Has this site filed and not formally withdrawn an EPA Notification of Hazardous Waste
Activity torn (EPA Form 8700-12) indicating Generator or Small Quantity Generator?
| |YES-> Complete Form RS: Regulatory Status
. Go to 2.
| | NO-> Go to 2.
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PLACE IDENTIFICATION LABEL HERE
QR
ENTER YOUR EPA ID NO.
Form
RS
Regulatory
Status
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1987
DRAFT
REGULATORY STATUS
READ COMPLETE INSTRUCTIONS ON PAGES TO
Note: 1) This form asks about the regulatory status of this site.
2) Answer §J1 questions 1 through 4 and follow any instructions associated with your answers.
3) All terms in Italics are defined on Page of the instructions.
1 . Was this sfte a generator of hazardous wastes that was NOT. flurinfl «/ single month of the reporting year, subject to
full RCRA regulation due to RCRA small quantity rules and exemptions?
| _ | YES - > Check the item that best describes your generator status during the reporting year.
I I This site met all of the requirements for a RCRA Conditionally Exempt Small Quantity Generator in
every month of the reporting year, and was NOT subject to regulation under lower State quantity
limits.
I I This site met all of the RCRA requirements for a Conditionally Exempt Small Quantity Generator in
every month of the reporting year, but was subject to regulation under lower State quantity limits.
- Specify State quantity limit or category that applied to this site during the reporting year (see
page _ of instructions): _
| _ | This site was a RCRA Small Quantity Generator in one or more months of the reporting year.
2. During the reporting year, did this site generate or process wastes that are specifically excluded or exempted from
regulation under RCRA?
| _ | YES - > [Check fill Items that applied during the reporting year]
| _ | wastes were generated or processed at this site that were delisted pripr to the beginning of the
reporting year.
| _ | Wastes were generated or processed at this site that are specifically excluded from RCRA regulation
(see Page xx of the instructions for list of RCRA regulatory exclusions).
| _ | Wastes were generated or processed at this site that are Recyclable Materials (see Page yy of the
instructions for list of Recyclable Materials).
LJ NO
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PLACE IDENTIFICATION LABEL HERE
OR
ENTER YOUR EPA ID NO.
Form
WM
Waste
Minimization
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1987
DRAFT
WASTE MINIMIZATION
READ COMPLETE INSTRUCTIONS ON PAGES TO
Note: 1) This form describes your site's efforts to minimize generation of hazardous wastes.
2) Answer every question as ind icated.
3) All terms in /te//cs are defined on Page of the instructions.
1. Does this site have a written statement which outlines goals, objectives and practices of waste minimization?
| | YES
NO
2. In the past two years, has this site conducted a waste minimization assessment that identifies ways to reduce
volume of waste generated?
| | YES
NO
3. Were any of the recommendations made in the waste minimization assessment implemented?
LJ YES
NO
4. Does this site have employee training or incentives programs to encourage the identification of new ways to
minimize the generation of hazardous waste?
LJ YES
NO
5. Has this site utilized the services of a Waste Exchange or a Waste Broker to minimize the amount of hazardous
waste to be treated, stored, or disposed?
| | YES
LJ NO
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PLACE SITE IDENTIFICATION LABEL HERE
OR
ENTER YOUR EPA ID NO.
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1987
DRAFT
WASTE DESCRIPTION
Form
WD
Watte
Description
Page
READ COMPLETE INSTRUCTIONS ON PAGES TO
NOTE: 1) This form should list ALL hazardous waste streams generated, processed, shipped off site, or received from oft site during the reporting year.
2) If this site does not process any hazardous wastes then columns E to H need not be completed.
3) Form accepts 12 pitch type.
1
A. DMcriptlonofWnt*
mVttUGuOft rfr
B. EPAHamtoui
WmtaNo.
Instnjction Pff. _
I I I I I I I I
c.
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Mu«
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r.
aiUp*r pound
1 1 1 1 1
ftolldt
H.
%
WMr
1 1 1
i 1
_ v^uai
i i i 1
COMMENTS (Refer to specific line numbers)
-------
PLACE SITE IDENTIFICATION LABEL HERE
OR
ENTER YOUR EPA ID NO.
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1987
DRAFT
PRIMARY GENERATION
Form
PG
Primary
Generation
Page_
READ COMPLETE INSTRUCTIONS ON PAGES TO
NOTE: 1) hi Section I dmerllM process (or processes) that generates hazardous wastes from primary sources.
2) In Section II Net the hazardous wastes that reauH from the process described In Section I.
3) Use the Waste Reference column to Indicate the page and line number of Form WD on which you have described the waste.
4) Form accepts 12 pHch type.
MA. Process Description:
tuftucltan ftp* _
8 SEaS?00^ . t i ... . i 11
C. Production Ratio
\ |
II
B. MponlngVMf Quantity
(1M7)
TttftUCOOfl rtQ9
C. Prartoui ₯**r Quantity
fl*lf)
Instruction ftg* _
r. i
H.
roiicttv
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I.
ftadudlM
Cod*
D
J,L_L_L_I1L
J L
Pig.
J
I I I I
l i I
DSK D-
i l i l l
COMMENTS (Refer to specific section and item)
-------
ENVIRONMENTAL PROTECTION AGENCY Form
PLACE SITE IDENTIFICATION LABEL HERE .. . ... . _m. m ..__-.
QB Hazardous Waste Report for 1987 f\ \
ENTER YOUR EPA ID NO. \J 1
DRAFT
Off-She
| , , , , , ., , . , , , | OFF-SITE IDENTIFICATION ld"""lea'fc>n
Page
READ COMPLETE INSTRUCTIONS ON PAGES TO
NOTE: 1) This foim should list ALL transporters iiMd and ALL off-site Installations to which you shipped or from which you received hazardous wastes
during the reporting year.
2) Address Information may be omHted for transporters ONLY.
3) Form accepts 12 pitch type.
UlM
No.
1
2
3
4
5
ln**ucVonP*Qf _
1 1
1 1
1 1
1 1
1 1
a
81*
tn»
1*_
L_l
L_l
L_J
LJ
L_J
c.
Itatat
Iff-
L_l
L_J
L_J
LJ
l_l
D. HMM Mid AddraM IntoniuAtan
BUttULDOn rUQ9
NAME
HUUKtttB
CTfY BIHIE! Zlr CODE _
1 1 1 J 1 1 l~ I 1 1 J
NAME
ADDRESS
MiV BIAICI xirumic
1 1 1 1 1 1 l~ 1 1 1 I
NAME
ADDfatas
CITV m Aiti AIP CUDfe
NAME
ADDHESa
QTV BIAIK! cIPCUDE
i i i i i i r i i i i
HABlt
ADDRESS
errv "' siAiii^ii'uuut
i 1 i i i i ~ i i i i
-------
PLACE SITE IDENTIFICATION LABEL HERE
SB
ENTER YOUR EPA ID NO.
1 I
NOTE: 1) Thl
2) Uw
3) Foi
UM
No.
1
2
3
4
5
A.
FatrnWD
WMtoMMMM
»"*_
UlM | |
Peg*
Urn 1 1
P«0*
1 1 1 1 1
Urn | |
Pagt
1 1 1 1 1
Urn | |
Pig*
1 1 1 1 1
Urn | |
P.8*
1 1 1 1 1
form should list ALL hazardous waste s
in accepts 12 pltcn typo.
a. FMimyEPAiDNo.
In&ucHon ftg> IM
l i
I i
i i
i i
i i
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1 987
DRAFT
WASTE SHIPPED OFF SITE
READ COMPLETE INSTRUCTIONS ON PAGES TO
(reams shipped off she during the reporting year.
the page and line number of Form WD on which you have described the waste.
frtsfrucffon 4*49*
1 1 1 1 1 1 1 ! 1 1 1
1 1 1 1 1 1 1 Im 1 1 1
1 1 1 1 1 1 1 1. 1 1 1
1 1 1 1 1 1 1 ! 1 1 1
1 1 1 1 1 1 1 ll 1 1 1
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SO
Shipped
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Page
J.
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COMMENTS (Refer to specific line numbers)
-------
PLACE SITE IDENTIFICATION LABEL HERE
QR
ENTER YOUR EPA ID NO.
1 1
NOTE: 1) Th
2) Uft
3) Fo
UM
No.
1
2
3
4
5
A.
FormWD
WMt.fMMvM.
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1 1 1 1 1
UM | |
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1 1 1 1 1
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UM | |
Pig.
UM | |
Pig.
1 1 1 1 1
form should list ALL hazardous watts s
ft MIA Wftftte HatoMiif A dvJi mill M liui^ftfM
rm accepts 12 pitch type.
B. OMMntorCPAtDMo.
TMaTUCVOn r9Qt
\ 1
1 1
1 1
1 I
1 1
ENVIRONMENTAL PROTECTION AGENCY , -...,
Hazardous Waste Report for 1987 p Q
DMFT
WASTE RECEIVED FROM OFF SITE " °"8"*""
Paoe
READ COMPLETE INSTRUCTIONS ON PAGES TO
treama received from off sKe during the reporting year.
the page and Hrw number of Form WD on which you have described the watt*.
(wLiJCOOf) rt^9
1 1 1 1 1 1 1 ! 1 1 1
1 1 1 1 1 1 1 ! 1 1 1
1 1 1 1 1 1 1 ! 1 1 1
1 1 1 1 1 1 1 1. 1 1 1
1 1 1 1 1 1 1 ! 1 1 1
D.
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**_
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1 1 1 1
1 1 1 1
1 1 1 1
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COMMENTS (Refer to specific lino numbers)
-------
PLACE SITE IDENTIFICATION LABEL HERE
OR
ENTER YOUR EPA ID NO.
Form
PS
Process
Summary
Page
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report for 1987
DRAFT
WASTE MANAGEMENT PROCESS SUMMARY
READ COMPLETE INSTRUCTIONS ON PAGES TO.
1. Complete one copy of this 2 elded form to describe each hazardous watte treatment proet
2. If tiie process type Is STORAGE, complete sections A, B and F.
3. If the process type Is TREATMENT IN SINGLE UNTO, complete sections A, C and F.
4. If the process type Is TREATMENT IN UNITS IN SEQUENCE, complete sections A. D and F.
5. If the process type Is LANDFILL, complete sections A, E and F.
6. This form accepts 12 pttch type.
t at this she.
A Describe the process.
OPMMMUI
Capacity for STORAGE Is the total capacity at the end of the year of all tanks, Impoundments, waste piles,
or container storage areas.
Capacity Is to be measured In weight (pounds, tons, kilograms, metric tons) units.
i/vtrucbon PA^V
Capacity In IM7
I I
I I I
WL
Capacity for TREATMENT IN SINGLE UNITS Is the flow through the system In the time specified.
Capacity Is to be measured In weight (pounds, tons, kilograms, metric tons) units.
«UaViJCftGf) rBffO
AnniMl Capacity
I I
I Hr. Shift Capacity
I a
UOM
WL
Number ol Until
Capacity for TREATMENT IN UNITS IN SEQUENCE Is the How through the system In the time specified.
Capacity!* to be measured In weight (P, T, K, M) or volume (G, L) unit*. Specify the density If volume units are used.
i i i
t Hi. Sum Capacity
UOM
Danalty
Unit Numbaret
Capacity for LANDFILL Is the total remaining capacity for waste excluding dally and final cover at the END of the year.
Capacltyls to be measured In weight (pounds, tons, kilograms, metric tons) units.
*
Remaining Capacity, and at ISST
I I I I I I I I I I
I I I I
[OVER]
-------
+*+*
National Governors' Association wuciinton
Governor of Arkansas
Chairman
Raymond C Scheppach
Executive Director
APPENDIX B
Instructions to the 1987 Biennial Report Draft Forms
HALL OF THE STATES 444 North Capitol Street Washington, D.C. 20001-1572- (202) 624-5300
-------
DRAFT
ENVIRONMENTAL PROTECTION AGENCY
Hazardous Waste Report Tor 1987
General Introduction
The Hazardous Waste Report for 1987 consists of ten separate forms, as follows:
1) FORM 1C IDENTIFICATION AND CERTIFICATION
2) FORM FS FORM SELECTION
3) FORM RS REGULATORY STATUS
4) FORM WM - WASTE MINIMIZATION
5) FORM WD WASTE DESCRIPTION
6) FORM PC PRIMARY WASTE GENERATION
7) FORM OI ~ OFF-SITE IDENTIFICATION
8) FORM SO WASTE SHIPPED OFF SITE
9) FORM RO ~ WASTE RECEIVED FROM OFF SITE
10) FORM PS WASTE MANAGEMENT PROCESS SUMMARY
Only two of these forms, Form 1C and Form FS, must be completed by every recipient of
the Hazardous Waste Report. Site identification information is obtained on Form 1C. Form FS
includes questions about the hazardous waste activities of a site and indicates which additional
forms must be completed. The titles of the remaining forms are suggestive of their contents,
and detailed descriptions and instructions for each are included in the pages which follow.
Each form also includes a brief instruction box on the form page(s), and there are instruction
page references associated with individual items. Any remaining questions can be addressed to
the Hazardous Waste Report Hotline at (800) - .
Consistent with recently passed legislation concerning hazardous wastes, there are some
new areas of emphasis in the Report. These include:
1) Waste Minimization. There is a questionnaire (Form WM) which asks some
generators of hazardous wastes about their overall efforts to minimize the quantity
and toxicity of the wastes they generate. In addition. Form PG requests
information relating to efforts at waste minimization for individual waste streams.
2) Waste Management Processes. For the first time, the Hazardous Waste Report
requests detailed information about processes used to treat, store, or dispose of
hazardous wastes. Information about capacity, influents, effluents, commercial
availability, and planned changes in capacity or operating status is requested.
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3) Waste Description. Some additional information about the character of hazardous
wastes is solicited. In recognition of their superior knowledge of the chemical and
physical characteristics of wastes, more detailed questions are asked of processing
facilities than of simple generators.
4) Special Forms for Special Purposes. Items which had been thrown together on
single forms are sometimes relegated to separate pages. For instance, all hazardous
wastes are described on Form WD, and reference is made to the page and line
number of Form WD when indicating where that waste came from and how it was
handled. There is also a separate page to provide the names and addresses of
transporters and external sites (Form OI). This approach reduces redundancy and
should minimize the total amount of paper to be processed.
The sections which follow provide detailed instructions for each of the forms in the
Report package. To summarize quickly:
1) Start by completing Form 1C Identification and Certification and Form FS --
Form Selection.
2) Follow the instructions associated with your answers to the questions on Form FS to
determine which other forms in the package must be completed and included in
your site's submission.
3) Detailed instructions are included in this booklet, and there are brief instruction
boxes and item by item instruction references on the individual forms.
4) If an item or question remains unclear after reviewing the available instructions,
call the Hazardous Waste Report Hotline at (800)
-------
INSTRUCTIONS FOR COMPLETING
FORM 1C
IDENTIFICATION AND CERTIFICATION
I. INTRODUCTION
Form 1C, Identification and Certification, is intended primarily to confirm information on location,
mailing address, EPA ID number, and contact person for your site. In addition, it requests
information on the Standard Industrial Classification (SIC) codes at your site associated with
hazardous waste activities, and asks about numbers and capacity of tanks for non-permitted, short-
term accumulation of hazardous wastes. This form is to be completed by every recipient of the
Report Package.
II. FORM COMPLETION INSTRUCTIONS
Site Identification Label/EPA ID
Attach one copy of the preprinted site identification label, if provided, in the upper left corner of
the form. If no site identification labels are provided, enter your EPA ID in the upper left corner
of the form.
Question 1
Read the preprinted site identification label, if provided, and verify that the site location address
and EPA ID number are correct.
If correct, check the "YES" box and go to Question 2.
If incorrect, check the "NO" box, enter the correct information in the space provided, and go
on to Question 2.
Question 2
Enter the name of the county in which the site is located, and go to Question 3.
Question 3
Enter the full name, title and phone number of the person to be contacted if there are questions
regarding information provided in the Hazardous Waste Report submitted by your site.
Question 4
Check the mailing address on the envelope in which this package was mailed.
If the mailing address is identical to the site identification label, check the box on line 4 and
go on to Question 5.
m If the mailing label on the envelope is not available, enter the mailing address in the space
provided.
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FORM 1C INSTRUCTIONS (Continued)
If the mailing address and the site identification label address are not identical, but the
information provided on the mailing label is correct, check the "YES" box and go on to
Question 5.
If the information on the mailing label is incorrect, check the "NO" box, enter the correct
information in the space provided, and go on to Question 5.
Question 5
Enter the Primary and Secondary Standard Industrial Classication Codes for your site which describe
the hazardous waste activities undertaken.
Question 6
Read the definition for "accumulate" provided on page .
If your site accumulates hazardous waste in tanks, check the "YES" box. In the space
provided, enter the number of tanks on site available for accumulation and their total capaicty
in gallons.
If your site does not accumulate hazardous waste in tanks, check the "NO" box.
Certification
. Check carefully that all forms required for your submission are present, complete, and
correct.
Type or print your name, title, and the date.
Sign the form and mail the completed package to the address below:
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INSTRUCTIONS FOR COMPLETING
FORM FS
FORM SELECTION
Form FS, Form Selection, is a series of questions intended to determine which forms within the
Hazardous Waste Report Package must be completed for your site. The questions have been carefully
worded to coorespond to regulatory requirements. Next to the answers for each question are instructions
on which forms must be completed and which question to answer next. This form must be completed bv
every recipient of the Hazardous Waste Report Package. Note the following key features of this form:
Key terms which require definition are printed in italics. The full definitions of these terms
are found starting on page .
At the end of the second page of the form is a Form Checklist on which you should indicate
all of the forms which are to be completed and included in your site's submission.
-------
INSTRUCTIONS FOR COMPLETING
FORM RS
REGULATORY STATUS
Form RS, Regulatory Status, consists of a series of questions about your site's hazardous waste
activities. This form need be completed only by those sites directed to do so by Form FS. In most cases,
those will be sites which are not required by EPA to provide detailed quantity reporting as a generator or
as a facility, although States may still require submission of a full report. The questions are carefully
worded to correspond to regulatory provisions. They should be read with care, and instructions associated
'with the answers should be followed. Key terms which require definition are printed in italics. The full
definitions of these terms are found starting on page .
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INSTRUCTIONS FOR COMPLETING
FORM WM
REGULATORY STATUS
Form WM, Waste Minimization, consists of a series of ten questions about your site's efforts to
minimize the generation of hazardous waste. This form need be completed only by those sites which
generate regulated quantities of hazardous waste from primary sources, as indicated by an affirmative
answer to Question 1 of Form FS, Form Selection.
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INSTRUCTIONS FOR COMPLETING
FORM WD
WASTE DESCRIPTION
I. INTRODUCTION
Form WD, Waste Description, is the cornerstone of the entire Hazardous Waste Report. It provides
the detailed description of the hazardous waste streams which are then referenced on the other
forms in the package. For example, if a waste is shipped off site, information on the quantity,
destination, and expected management methods will be found on Form SO. However, the
description of that waste stream will be on Form WD, and there will only be a Form WD page and
line reference on Form SO to indicate which waste is being shipped off site.
Form WD requests a narrative description of the waste stream, one or more EPA Hazardous waste
numbers, a 3-digit A/B waste code (indicating the physical/chemical form of the waste), and an
indicator of the regulatory status of the waste. In addition, waste processing facilities only are
asked to provide the pH, BTU per pound, percent solids, and percent water of the waste.
In case more space is required to complete the narrative description or the full list of EPA
Hazardous Waste number, the description may be continued on the line below, after placing an "X"
in the "check if continued" box.
Pages must be numbered in sequence and care taken to cite Form WD waste references accurately.
Failure to do so will make it impossible to determine which wastes are being described on the other
forms in the Report.
II. FORM COMPLETION INSTRUCTIONS
1. Site Identification Label/EPA ID
Attach one copy of the preprinted site identification label, if provided, in the upper left
corner of the form. If no site identification labels are provided, enter your EPA ID in the
upper left corner of the form. Only two copies of the form are provided in the package. If
you need to reproduce the form, attach the site identification label OJ& enter your site's EPA
ID number before making copies.
2. Page Number
Enter the page number in the appropriate box on the top right corner of the form. For
example, if five copies of Form WD are required to list all of the wastes referenced anywhere
in the Hazardous Waste Report, then the forms are to be numbered 1 through 5.
3. Waste Stream Related Information
Complete Sections A through H for each waste or waste stream if you are a Processing
Facility. Complete only Sections A through D if your site receives, ships or generates
does not process any hazardous waste.
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WD INSTRUCTIONS (Continued)
Use a separate line entry for each waste or waste mixture. If more than one line is required
to identify and describe a waste stream, continue on the next line and place an "X" in the
space immediately before the "check if continued" box.
A. Description of Waste
Enter the USEPA listed name, abbreviated if necessary, of hazardous wastes
listed under 40 CFR Part 261, Subpart D. If the waste stream is a mixture of
listed wastes, enter the description which best describes the waste mixture
For unlisted hazardous wastes identified by characteristic (e.g., ignitable,
corrosive, reactive, or EP toxic) under 40 CFR Part 261, Supart C, enter the
following:
The description from the list of characteristics which best describes the
waste; and
The chemical or generic chemical name of the waste.
Example:
B. EPA Hazardous Waste Number
Enter the 4-character USEPA Hazardous Waste Number for listed wastes from 40
CFR Part 261, Subpart D which identifies the waste.
Enter the 4-character USEPA Hazardous Waste Number of unlisted wastes from
40 CFR Part 261, Subpart C that identifies the waste.
Enter all of the relevant USEPA Hazardous Waste Numbers, if the waste is a
mixture of more than one listed or unlisted waste. If the waste mixture has more
than 4 USEPA Hazardous Waste Numbers, continue on the next line and place an
"X" in the space immediately before the "check if continued" box.
Example:
C. 3-DJgit A/B Waste Code Enter the 3-digit A/B Waste Code that best describes the
waste or waste mixture entry. The A/B Waste Codes are listed on Page .
-------
ORM WD INSTRUCTIONS (Continued)
D. Regulatory Status Enter the Regulatory Status Code for each waste entry.
Regulatory Status Codes are listed below.
Code Regulatory Status
R Waste is RCRA Regulated
S Waste is ONLY State Regulated
£ Waste is exempt (neither RCRA or State Regulated)
E. oH Enter the pH of the waste entry.
F. BTU per Pound Enter the BTU per pound, for the waste entry.
G. % Solids Enter the percentage of solids for the waste entry.
H. % Water Enter the percentage of water for the waste entry.
4. Comments
This space may be used to explain, clarify, or continue any entry. If used, cross-reference
the comment by entering in the appropriate Section and line number.
10
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INSTRUCTIONS FOR COMPLETING
FORM PG
PRIMARY GENERATION
I. INTRODUCTION
Form PG Primary Waste Generation. Consistent with a new emphasis on waste minimization.
Form PG is structured to associate a waste stream with the process which generated it. Information
is requested on the quantity both this year and last, and on what factors might account for any
differences between the two.
The term primary waste generation is used here to distinguish between wastes resulting from
production, service, or other processes or one time events, and wastes which result from the
treatment, storage, or disposal of previously existing hazardous wastes. This latter group, wastes
resulting from the treatment, storage, or disposal of previously existing hazardous wastes, are not to
be described on this formthey are described on Form PS.
Form PG is divided into two sections.
Section I provides a description of the primary generation process which produced one or more
waste streams. This could include anything from an electroplating process to a dry cleaning
operation to an air pollution control device to a spiil cleanup. Ideally, a single process is described
in Section I, with its resulting waste streams listed in Section II. It is recognized, however, that
existing record keeping may not make it possible to indicate what quantity of a waste resulted from
a single process. In such cases Section I would describe the two or more processes which
collectively produced the waste streams described in Section II of the form. Item A should include
a detailed narrative description of the process or processes responsible for the waste stream(s). Item
B lists the Standard Industrial Classification (SIC) code(s) associated with that process; while Item C
indicates the production ratio associated with that process or processes.
Section II provides detailed descriptive information about individual waste streams which result
from the process or processes described in Section I. This includes the quantity generated during
the reporting year, the quantity generated during the previous year, UOM and density, the detailed
source and management sequence of the waste, an indicator of changes in toxicity, and a code
indicating what efforts were undertaken to minimize generation.
If more than three wastes are generated by the process or processes described in Section I, complete
a second copy of the Form PG on which Section I information is repeated and the additional
streams are described.
11
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'ORM PG INSTRUCTIONS (Continued)
II. FORM COMPLETION INSTRUCTIONS
Site Identification Label/EPA ID
Attach one copy of the preprinted site identification label, if provided, in the upper left corner of
the form. If no site identification labels are provided, enter your EPA ID in the upper left corner
of the form. Only two copies of the form are provided in the package. If you need to reproduce
the form, attach the site identification label QR enter your site's EPA ID number before making
copies.
Page Number
Enter the page number in the appropriate box on the top right corner of the form. For example, if
five copies of Form PG are required to list all of. the primary waste generation processes, then the
forms are to be numbered 1 through 5.
Section I
A. Process Description
Enter the process that generates the primary hazardous waste in Section IA. Include
one-time events and spill cleanups. If your site has more than one process that
generates primary hazardous waste, you must complete a separate form for each process.
If you are unable to break down waste stream quantities by processes that generated the
waste stream, you may enter a group of processes in Section IA. Indicate in the
"Comments" section that these processes are different and your reasons for grouping
them together.
Example:
B. Process SIC Codefai
Enter in Section IB the Process SIC Code(s) for the process described in Section I A.
If there are no SIC code(s) that describe the process, check the "Not App." box.
12
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FORM PG INSTRUCTIONS (Continued)
C. Production Ratio
(This description and instruction has been taken from the 1986 New Jersey Hazardous Waste
Generator Waste Minimization Report.)
The Production Ratio =
Measure of Production in 1987
(gallons, tons, pounds) =» 420 units produced m 20
Measure of Production in 1986 210 units produced
(units of production, sales dollars)
Points to consider when computing waste generation on a unit basis:
a. Report wastes separately that were not generated in the course of normal operations
(e.g., spill wastes).
b. The production unit should be applicable to your operation. If units of production are
not applicable, then use sales dollars.
c. Once you select a unit of production, it must remain the same in ALL future reporting
years.
d. You are responsible for properly computing your firm's waste generation in terms of
production units. Amounts of manifested wastes may be used if the units of production
are propertly applied to the period for which those wastes are generated.
Using the above formula, calculate and enter the Production Ratio for the process
described in Section IA.
B For processes where the Production Ratio cannot be calculated, as in the case of one-
time events like spill cleanups, check the "Not App." box.
Section II: Waste Stream Related Information
Complete Sections A through I for each waste or waste mixture. Enter each waste stream on a new
line.
A. Waste Reference Enter the line and page number from Form WD on which the waste or
waste mixture is described.
B. Reporting Year Quantity (1987) Enter the total quantity of the waste stream generated by
the process described in Section IA during calendar year 1987.
C. Previous Year Quantity H986) Enter the total quantity of the waste stream generated by
the process described in Section IA during calendar year 1986.
13
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FORM PC INSTRUCTIONS (Continued)
D. Unit of Measure (UOM) Enter the UOM code for the quantity of waste entry. Quantities
be reported in the units of measure listed below.
Code
Unit of Measure
P Pounds
T Short tons (2,000 pounds)
K ... Kilograms
M .. Metric tonnes (1,000 kilograms)
G Gallons
L Liters
E. Qgnsjtt If gallons or liters are used as the UOM, enter the density. Provide the density in
pounds per gallon (Ibs/gal) or specific gravity (sg). Check the appropriate box.
F. Management Sequence Enter the sequence of 3-digit management codes that best describes
the management process for the waste or waste mixture entry.- The management process codes
are listed on page .
G. Source Code Enter the 3-digit source code that best describes the source of the waste or
waste mixture. The appropriate source code would be a specific stage in the process
described in Section IA that resulted in the generation of the waste stream. A list of possible
source codes follow.
WASTE SOURCE CODES
Cteamng/DegiMaing Processes
SOI Stripping with corrosives
S02 vapor degreasing
SOS Steam cleaning
S04 Dip nnsing
SOS Rush nnsing
SOS Pill and gravity draining
S07 Backflush nnsing
S08 Physical scraping/removal
SOS Pickling
S10 Other cleaning/degreasing process
(specify m the answer space
provided)
Production Processes
C11 Light ends condensation
S12 Heavy ends removal
S13 Reaction/synthesis media processing
S14 Crystallization
SIS Slag removal
S18 Bottoms removal
S17 Molding/forming
S18 Byproduct processing
S19 Improper formulation
S20 Other production processes (specify
in the answer space provided)
One-Time or Sporadic Processes)
S21 Discarding of off-spec material
S22 Discarding of out-of-date products or
chemicals
S23 Discarding of spent or used product
(not including spent or used solvents)
S24 Cleanup of spill residues
S2S Cleanout of treatment impoundment
S26 Closure of lagoon
S27 Closure of process equipment
S2S Discarding of contaminated cleanup
equipment
S29 Other remedial action/cleanup (spea-
fy m me answer space p/ov/aeo)
S30 Other one-lime or sporadic processes
(specify m Me answer space provided;
Pollution control or waste; treatment
processes
S31 Flue gas desulfunzation
S32 Caustic scruDOing
S33 Bectrostnnc precipitation
S34 Condensate from VOC removal
S3S Filtering/screening
S36 Oewatenng
S37 Regenerating
S38 pH adiustmem
S39 Quench cooling
S40 CentnfugaMn
S41 Incineration
S«2 Wastewater treatment
S43 Onnking water treatment
S44 Distillation
S4S Rotation or skimming
£46 Oecantation or settling
S47 Other pollution control or waste treat-
ment process (specify in tne answer
space p/ovK»oV
14
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'ORM PG INSTRUCTIONS (Continued)
H. Toxicitv Change Enter the Toxicity Change code that describes the change in toxicity of
the waste stream from calendar year 1986 to 1987. Toxicity Change codes are listed below.
Code Toxicitv Change
I Increase in toxicity
D Decrease in toxicity
N No change in toxicity
I. Reduction Code Enter the Reduction Code from the list below that described the waste
minimization methods applied to the waste or waste mixture. Reduction Codes 8 through 12
require an explanation in the "Comments" section. .
01 Recycling (reuse) on site
02 Recycling (reuse) off site
03 Equipment/technology modifications
04 Process procedure modifications
05 Reformulation/redesign of product
06 Substituting raw materials
07 Improved operations due to housekeeping/training/inventory control
08 Increase in waste/unit product and decrease in toxicity
09 No change
10 Increase in waste/unit product, no change or increase in toxicity
11 One-time spill or corrective action cleanup
12 Miscellaneous
Comments
This space may be used to explain, clarify, or continue any entry. If used, cross-reference the
comment by entering in the appropriate Section and line number.
15
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INSTRUCTIONS FOR COMPLETING
FORM 01
OFF-SITE IDENTIFICATION
I. INTRODUCTION
Form OI, Off-Site Identification, is to be used to provide name, address, site type, and relationship
information on all external sites which transported, shipped or received hazardous waste to or from
your site. Site type refers to whether the external site is a generator from which your site received
waste, a facility to which you sent waste, or a waste transporter. Site relationship indicates whether
the external site is a corporate relative or an independent* firm. Note the following key features of
this form:
Any facility listed on Form SO should be represented by an entry on Form OI. If vour site is
required to complete Form SO. then Form OI must be completed as well.
Any generator listed on Form RO should be represented by an entry on Form OI. If vour site
is required to complete Form RO. then Form OI must be completed as well.
For transporters ONLY, provision of address information is optional. EPA ID number, site
type, site relationship, and name information must still be provided.
II. FORM COMPLETION INSTRUCTIONS
1. Site Identification Label/EPA ID
Attach one copy of the preprinted site identification label, if provided, in the upper left
corner of the form. If no site identification labels are provided, enter your EPA ID in the
upper left corner of the form. Only two copies of the form are provided in the package. If
you need to reproduce the form, attach the site identification label OR enter your site's EPA
ID number before making copies.
2. Page Number
Enter the page number in the appropriate box on the top right corner of the form. For
example, if five copies of Form OI are required to list all of the external sites, then the forms
are to be numbered 1 through 5.
3. Off-Site Installation Information
Complete Section A through D for each off-site installation to whom you shipped and from
who you received hazardous wastes during the reporting period. Complete Sections A through
C and the name line of Section D for all transporters used to ship waste off site.
A. Off-Site Installation or Transporter EPA ID Number Enter the 12-digit EPA ID
number of the installation to whom you shipped hazardous waste Q& from whom you
received hazardous waste OR the transporter who shipped hazardous waste to or from
your site. If the site is not RCRA regulated and does not have an EPA ID number,
write in the word "NONE" in the space.
16
-------
ORM OI INSTRUCTIONS (Continued)
B. Site Tvoe Enter the Site Type Code for the site entered in Section A. Site type
codes are listed below.
Code Site Type
G Generator
F Facility
T Transporter
C. Site Relationship Enter the Site Relationship Code that describes the relationship
between you and the site entered in Section A. ' Site Relationship Codes are listed
below.
Code Site Relationship
S Same or related owner
D Unrelated
D. Name and Address Information Enter the name and address of the site entered in
Section A. The address need not be completed for transporters.
4. Comments
This space may be used to explain, clarify, or continue any entry. If used, cross-reference
the comment by entering in the appropriate Section and line number.
17
-------
INSTRUCTIONS FOR COMPLETING
FORM SO
WASTE SHIPPED OFF SITE
I. INTRODUCTION
Form SO, Waste Shipped Off Site, is to be used to provide information on all hazardous wastes
shipped off site. On each line item, information is requested on the quantity of a single type of
waste shipped to a particular facility, the time period of generation, the method of accumulation,
the number of shipments of that type of waste sent, the container and method of transport, and the
methods expected to be employed for the management of the waste. Note the following key
features of this form:
The waste type is indicated by reference to a detailed waste description which is to be
provided on Form WD, Waste Description. If vour site is required to complete Form SO. then
Form WD must be completed as well.
The name and address of the facility to which the waste was sent is to be provided on Form
OI, Off-Site Identification. If vour site is required to complete Form SO. then Form OI
must be completed as well.
It is possible to describe wastes shipped to multiple facilities on a single page of the form.
For example, if your site shipped single waste types to each of five different facilities, all of
these waste shipments could be described on one copy of Form SO.
II. FORM COMPLETION INSTRUCTIONS
1. Site Identification Label/EPA ID
Attach one copy of the preprinted site identification label, if provided, in the upper left
corner of the form. If no site identification labels are provided, enter your EPA ID in the
upper left corner of the form. Only two copies of the form are provided in the package. If
you need to reproduce the form, attach the site identification label QR. enter your site's EPA
ID number before making copies.
2. Page Number
Enter the page number in the appropriate box on the top right corner of the form. For
example, if five copies of Form SO are required to list all of the wastes shipped off site, then
the forms are to be numbered 1 through 5.
3. Waste Stream Related Information
Complete Sections A through K for each waste or waste mixture entered. Use a separate line
entry for each waste or waste mixture.
A. Waste Reference Enter the line and page number from Form WD on which the waste
or waste mixture is described.
B. Facility EPA ID Number Enter the 12-digit EPA Identification Number of the
facility to whom the waste or waste mixture was shipped.
18
-------
FORM SO INSTRUCTIONS (Continued)
C. Quantity Shipped Enter the quantity of the waste or waste mixture shipped during
the reporting 'year.
D. Unit of Measure (UOM) Enter the UOM Code for the quantity of waste entry.
Quantities can be reported in the units of measure listed below.
Code Unit of Measure
P Pounds
T Short tons (2,000 pounds)
K Kilograms
M Metric tonnes (1,000 kilograms)
G Gallons
L Liters
E. Density If gallons or liters are used as the UOM, enter the density. Provide the
density in pounds per gallon (Ibs/gal) or specific gravity (sg). Check the appropriate
box.
F. Time Period Enter the Time Period Code for each waste entry. Time Period Codes
are listed below.
Code Time Period
L Generated in previous years and shipped this year
P Generated and shipped this year
G. Accumulation Method Enter the method by which the waste or waste mixture was
accumulated prior to shipment. [Accumulation, which differs from permitted storage,
is defined in detail on page .] Accumulation Method Codes are listed below.
Code Accumulation Method
C Containers
T Tanks
N Not Accumulated
H. Number of Shipments Enter the number of shipments (waste manifests) of that waste
type that were sent to the facility.
I. Transport Mode Enter the Transport Mode Code used to ship the waste or waste
mixture. Transport Mode Codes are listed below.
Code Transport Mode
01 Dump Truck
02 Tank Truck
03 Train
04 Pipe Line
05 Ship
06 Air transport
07 Other, Specify in "Comments"
19
-------
FORM SO INSTRUCTIONS (Continued)
j. Transport Container Enter the Transport Container Code in which the waste or waste
mixture was stored during shipment to the facility. Transport Container Codes are
listed below.
Code Transport Container
DM Metal drums, barrels, or kegs
DW Wood drums, barrels, or kegs
DF Fiberboard or plastic drums, barrels, or kegs
TP Portable tanks
TT Cargo tanks (tank trucks)
TC Tank cars
DT Dump trucks
CY Cylinders
CM Metal boxes, cartons, or cases
CW Wood boxes, cartons, or cases
CF Fiber or plastic boxes, cartons, or cases
BA Burlap, cloth, paper, or plastic bags
OT Other, Specify in "Comments"
K. Off-Site Management Codes Enter the Management Process Code that you believe
will be used by the facility receiving the waste or waste mixture entered. Management
process codes are listed below.
Code Off-Site Management Process
C01 Burning in boiler
C02 Recovery/reclamation
C03 Incineration
C04 Landfill
COS Surface impoundment
C06 Underground injection
C07 Discharge to POTW
COS Discharge to surface water under NPDES
C09 Discharge to privately-owned wastewater treatment works
CIO Land application
Cll Other, Specify in "Comments"
4. Comments
This space may be used to explain, clarify, or continue any entry. If used, cross-reference
the comment by entering in the appropriate Section and line number.
20
-------
INSTRUCTIONS FOR COMPLETING
FORM RO
WASTE RECEIVED FROM OFF SITE
I. INTRODUCTION
Form RO, Waste Received From Off Site, is to be used to provide information on all hazardous
wastes received from off site. On each line item, information is requested on the quantity of a
single type of waste received from a particular generator, the number of shipments of that type of
waste received, and the methods employed for the management of the waste. Note the following
key features of this form:
The waste type is indicated by reference to a detailed waste description which is to be
provided on Form WD, Waste Description. If vour site is required to complete Form RO.
then Form WD must be completed as well.
The name and address of the generator from which the waste was received is to be
provided on Form OI, Off-Site Identification. If vour site is required to complete Form
RO. then Form OI must be completed as well.
It is possible to describe wastes received from multiple generators on a single page of the
form. For example, if your site received only one waste from each of five generators, all
of these receipts could be described on a single copy of Form RO.
II. FORM COMPLETION INSTRUCTIONS
1. Site Identification Label/EPA ID
Attach one copy of the preprinted site identification, label, if provided, in the upper left
corner of the form. If no site identification labels are provided, enter your EPA ID in the
upper left corner of the form. Only two copies of the form are provided in the package.
If you need to reproduce the form, attach the site identification label OR enter your site's
EPA ID number before making copies.
2. Page Number
Enter the page number in the appropriate box on the top right corner of the form. For
example, if five copies of Form RO are required to list all of the wastes received from off
site, then the forms are to be numbered 1 through 5.
3. Waste Stream Related Information
Complete Sections A through G for each waste or waste mixture entered. Use a separate
line entry for each waste or waste mixture.
A. Waste Reference Enter the line and page number from Form WD on which the
waste or waste mixture is described.
B. Generator EPA ID Number Enter the 12-digit U.S. EPA Identification Number of
the generator from whom the waste or waste mixture was received.
21
-------
FORM RO INSTRUCTIONS (Continued)
C. Quantity Generated Enter the quantity of the waste or waste mixture received
during the reporting year.
D. Unit of Measure (UOM) ~ Enter the UOM code for the quantity of waste entry.
Quantities must be reported in the units of measure listed below.
Code Unit of Measure
P Pounds
T Short tons (2,000 pounds)
K. Kilograms
M Metric tonnes (1,000 kilograms)
G Gallons
L Liters
E. Density If gallons or liters are used as the UOM, enter the density. Provide the
density in pounds per gallon (Ibs/gal) or specific gravity (sg). Check the appropriate
box.
F. Management Sequence Enter the sequence of 3-digit management codes that best
describes the management process for the waste or waste mixture entry. The
management process codes are listed on page .
G. Number of Shipments Enter the number of shipments (waste manifests) of that
waste type that were received from the generator.
4. Comments
This space may be used to explain, clarify, or continue any entry. If used, cross-reference
the comment by entering in the appropriate Section and line number.
22
-------
INSTRUCTIONS FOR COMPLETING
FORM PS
WASTE MANAGEMENT PROCESS SUMMARY
I. INTRODUCTION
Form PS, Waste Management Process Summary, is to be used to describe the hazardous waste
management processes which occur on site during the reporting year. The waste management
processes to be described on Form PS are the same as the on-site processes used in the description
of the management sequence for each waste stream on Form RO (Section F) and Form PG (Section
F). A list of possible waste management processes codes appears on page .
Complete one copy of Form PS for each unique combination of process (defined by its process
code) regulatory status (State or Federally regulated) and Operational Status (in operation, under
construction, etc.).
For each process/regulatory status/operational status combination, the information requested is a
description of the process, the capacity of the process, the number of units represented, information
on the expected changes in the capacity, the quantity of material entering the process, and the
quantities of material leaving the process. The hazardous material leaving the process (secondary
generation of hazardous waste) is described in detail.
The definition of capacity is different for different types of processes, therefore Form PS has four
sections in which capacity is defined (Sections B through E), corresponding to each of 4 different
types of processes. For each process, complete only the sections which applies to the type of
process being described. Complete sections A and F for all processes, and the appropriate section of
B through E as described below:
Complete Section B if the process described is STORAGE. For storage, the capacity is the
total amount of waste which might be stored in the storage area, tank, impoundment, or waste
pile.
Complete Section C if the process is treatment in single units characterized by a maximum
flow rate. Section C is to be completed for units which are connected in parallel and any
process which is limited by the maximum flow rate even if it is not usually considered
treatment, such as underground injection.
Complete Section D if the process is treatment in a sequence in dependent units. A sequence
of treatment units which can be operated independently are to be described in section C.
Complete Section E for landfill type processes.
The waste type is indicated by reference to a detailed waste description which is to be provided on
Form WD, Waste Description. If vou are required to complete Form PS then Form WD must be
completed also.
23
-------
?ORM PS INSTRUCTIONS (Continued)
II. FORM COMPLETION INSTRUCTIONS
1. Site Identification Label/EPA ID
Attach one copy of the preprinted site identification label, if provided, in the upper left
corner of the form. If no site identification labels are provided, enter your EPA ID in the
upper left corner of the form. Only two copies of the form are provided in the package. If
you need to reproduce the form, attach the site identification label OR enter your site's EPA
ID number before making copies.
2. Page Number
Enter the page number in the appropriate box on the top right corner of the form. For
example, if five copies of Form PS are required to describe the hazardous waste management
processes used during the year, then the forms are to be numbered 1 through 5.
3. Waste Management Process Related Information
A. Description of the process Note that a separate copy of Form PS must be completed
for each combination of process type, regulatory status, and operational status.
1) Process Code Enter the process code for the waste management process being
described from the list on page .
2) Regulatory Status Enter the appropriate code from the list below which
describes how this process is regulated:
Code Regulatory Status
R RCRA Regulated
S State Regulated only
N Not regulated
3) Operational Status Enter the appropriate code from the list below which
describes the operation of this process at the end of the reporting year
Code Operational Status
A Active
B Temporarily Closed
C Permanently Closed
4) Process Description Enter a narrative description of the process.
24
-------
FORM PS INSTRUCTIONS (Continued)
B. Capacity for Storage Processes Complete this section only if the process described is
STORAGE.
1) Capacity in 1987 Enter the capacity of the storage process at the end of 1987.
The capacity is the total amount of waste which might be stored in the storage
area, tank, impoundment, or waste pile including waste presently stored. When
calculating capacity, consider the design size and any other limitations (physical,
regulatory, etc.) which determine the maximum usable capacity.
Report the capacity in weight units assuming the total volume for storage will be
used in a manner similar to its present use. If the storage is used for wastes
typically measured in volume units (gallons, barrels, etc.) convert the volume to
weight using the density of the wastes. If different types of waste are stored,
convert all volumes to weight using the appropriate density and determine the
total weight for all wastes (liquid and dry) which might be stored.
2) UOM Wt. Enter the unit of weight measure for the capacity. Quantities can
be reported in the weight units listed below.
Code Units of
P ........... Pounds
T ........... Short Tons (2000 pounds)
K. ........... Kilograms
M ........... Metric Tonnes (1000 kilograms)
3) Number of Units Enter the number of storage units (tanks, impoundments,
waste piles or storage areas) with the listed combination of process type,
regulatory status, and operational status.
C. Capacity for Treatment processes in single units Complete this section only if the
process described is TREATMENT IN SINGLE UNITS (including units operating in
parallel and injection wells).
1) Annual Capacity Enter the annual capacity of the treatment process. The
capacity is the total amount of waste which can be treated in the process in a
year assuming typical operating schedules, mixture of wastes and expected
maintenance downtime, a regulatory constraints.
Report the capacity in weight units. If the treatment is used for wastes typically
measured in volume units (gallons, barrels, etc.) convert the volume to weight
using the density of the wastes. If different types of waste are treated, convert
all volumes to weight using the appropriate density and determine the total
weight for all wastes (liquid and dry) which were treated.
25
-------
PS INSTRUCTIONS (Continued)
2) 8 Hour Shift Capacity Enter the design capacity or maximum capacity of the
treatment process for an 8 hour shift. The capacity is the total amount of waste
which can be treated in the process during an 8 hour shift.
Report the capacity in weight units. If the treatment is used for wastes typically
measured in volume units (gallons, barrels, etc.) convert the volume to weight
using the density of the wastes. If different types of waste are treated, convert
all volumes to weight using the appropriate density and determine the total
weight for all wastes (liquid and dry) which were treated.
3) UOM Wt. Enter the unit of weight measure for the capacity. Quantities can
be reported in the weight units listed below.
Code Units of Measures
P Pounds
T Short Tons (2000 pounds)
K. Kilograms
M Metric Tonnes (1000 kilograms)
4) Number of Units Enter the number of treatment units with the listed
combination of process type, regulatory status, and operational status.
D. Capacity for Treatment processes in a sequence on treatments units Complete this
section only if the process described is TREATMENT IN UNITS IN SEQUENCE.
1) Annual Capacity Enter the annual capacity of the treatment process. The
capacity is the total amount of waste (entering the first treatment unit of the
sequence) which can be treated in the process in a year assuming typical
operating schedules, mixture of wastes and expected maintenance downtime, a
regulatory constraints.
Report the capacity in weight units. If the treatment is used for wastes typically
measured in volume units (gallons, barrels, etc.) convert the volume to weight
using the density of the wastes. If different types of waste are treated, convert
all volumes to weight using the appropriate density and determine the total
weight for all wastes (liquid and dry) which were treated.
2) 8 Hr. Shift Capacity Enter the design capacity or maximum capacity (amount
of material entering the first treatment unit of the sequence) of the treatment
process for an 8 hour shift. The capacity is the total amount of waste which can
be treated in the process during an 8 hour shift.
Report the capacity in weight units. If the treatment is used for wastes typically
measured in volume units (gallons, barrels, etc.) convert the volume to weight
using the density of the wastes. If different types of waste are treated, convert
all volumes to weight using the appropriate density and determine the total
weight for all wastes (liquid and dry) which were treated.
26
-------
FORM PS INSTRUCTIONS (Continued)
3) UOM Wt. Enter the unit of measure for the capacity. Quantities can be
reported in the weight units listed below.
Code Units of Measure
P Pounds
T Short Tons (2000 pounds)
K Kilograms
M Metric Tonnes (1000 kilograms)
G Gallons
L Liters
D. Unit of Measure fUQMl ~ Enter the UOM code for the quantity of waste entry.
Quantities must be reported in the units of measure listed below.
Code Unit of Measure
P Pounds
T Short tons (2,000 pounds)
K. Kilograms
M Metric tonnes (1,000 kilograms)
G Gallons
L Liters
4) Density ~ If gallons or liters are used as the UOM, enter the density. Provide
the density in pounds per gallon (Ibs/gal) or specific gravity (sp). Check the
appropriate box.
5) Unit Tvoe and Number of Units « Enter the number of treatment units by unit
type which make up the sequence of units in this process. Possible unit types are:
Code Unit Type
T Tank
I Impoundment
O Other
E. Capacity for Landfill type processes Complete this section only if the process
described is LANDFILL.
1) Remaining Capacity, end of 1987 Enter the capacity of the storage process at
the end of 1987. The total remaining capacity at the end of 1987 does not
include daily cover and final cover. When calculating capacity, consider the
design size and any other limitations (physical, regulatory, etc.) which affect the
maximum usable capacity.
Report the capacity in weight units assuming the total volume for waste will be
used in a manner similar to its present use.
27
-------
"ORM PS INSTRUCTIONS (Continued)
2) UOM Wt. -- Enter the unit of weight measure for the capacity. Quantities can
be reported in the weight units listed below.
Code Units of Measure
P Pounds
T Short Tons (2000 pounds)
K Kilograms
M Metric Tonnes (1000 kilograms)
3) Number of Units Enter the number of landfill units with the listed
combination of process type, regulatory status, and operational status.
F. Additional information for all management processes
Line 1, limitations on capacity.
1) Limitations on capacity Enter codes to describe the limitations on capacity, in
order of importance. The relevant codes are shown below. Enter N (no
limitations) only if Capacity in 1987, Annual Capacity, ar Remaining Capacity.
end of 1987 is limited ONLY by engineering design.
Code Limitations on Capacity
A Operating permit
B Compliance with permit standards
C Other regulatory limitations
D Planned maintenance downtime
E Number of shifts operated/yr.
F Other Physical Factors
O Other Factors
N No limitations beyond design
2) Percent of capacity which is commercially available Enter the percent of the
capacity (as defined in section B, C, D, or E) which is available to commercial
use.
3) Commercial Availability Code Enter the commercial availability code below
which best describes the portion of the capacity which is available for commercial
use.
Code Commercial Availability
A Commercial use
B Commercial use for a limited number of other firms.
C Use by firms owned by the same company only.
D No commercial use available.
28
-------
ORM PS INSTRUCTIONS (Continued)
F. Line 2. Changes in capacity
1) Planned Change in Annual or End of Year Capacity Enter any changes in
capacity (as defined in sections B through E) expected in the next 5 years. Use
the same unit of measure used in section B, C, D, or E.
2) Expected Year of the Change -- Enter the expected year of the change in
capacity noted above.
3) Change Code Enter the code below which best describes the expected change
in capacity.
Code x Change Status
A Change in production
B Change in production methods
C Change in waste management methods
D Change in regulatory status of waste management method
E Change in commercial status of waste management method
O Other reasons
4) Percent of capacity change which is commercially available Enter the percent
of the expected capacity change which is available to commercial use.
5) Commercial Availability Code. Enter the commercial availability code below
which best describes the portion of the capacity change which is available for
commercial use.
Code Commercial Availability
A Commercial use
B Commercial use for a limited number of other firms.
C Use by firms owned by the same company only.
D No commercial use available.
F. Line 3, Describe influent flows.
1) Waste Description Enter a narrative description of the influent material to the
process.
2) Annual Quantity Enter the total quantity of material entering the waste
management process.
29
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*ORM PS INSTRUCTIONS (Continued)
3) UOM Enter the unit of measure for the annual quantity of influent material
above using the unit of measure codes below.
Code Regulatory Status
P Pounds
T Short Tons (2000 pounds)
K Kilograms
M Metric Tonnes (1000 kilograms)
G Gallons
L Liters
4) Density If quantity above is reported with volume unit of measure (gallons or
liters) enter the density of the material, and the unit of measure for the density
(by checking the appropriate box). If several materials enter the process with
different densities, convert all to a common weight unit of measure.
5) % Hazardous Enter the percent of the influent material which is RCRA
regulated hazardous waste.
F. Line 4, Describe non-hazardous effluent flows.
1) Waste Description Enter a narrative description of the non-hazardous effluent
flow from the process.
2) Annual Quantity Enter the total quantity of non-hazardous material leaving
the waste management process.
3) UOM Enter the unit of measure for the quantity of non-hazardous material
leaving the waste management process.
Code Regulatory Status
P Pounds
T Short Tons (2000 pounds)
K Kilograms
M Metric Tonnes (1000 kilograms)
G Gallons
L Liters
4) Density If quantity above is reported with volume unit of measure (gallons or
liters) enter the density of the material, and the unit of measure for the density
(by checking the appropriate box). If several non-hazardous materials leave the
process with different densities, convert all to a common weight unit of measure.
30
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FORM PS INSTRUCTIONS (Continued)
F. Lines 5 to 8, Describe hazardous effluent flows. For each flow of hazardous waste
from the process, enter thee following information.
1) Form WD Waste Reference ~ Enter the line and page number from Form WD on
which the waste or waste mixture is described.
2) Annual Quantity -- Enter the total quantity of this hazardous stream leaving the
waste management process.
3) UOM Enter the unit of measure for the quantity of the hazardous waste
stream leaving the waste management process.
Code Regulatory Status
P Pounds
T Short Tons (2000 pounds)
K. Kilograms
M Metric Tonnes (1000 kilograms)
G Gallons
L Liters
4) Density If quantity above is reported with volume unit of measure (gallons or
liters) enter the density of the material, and the unit of measure for the density
(by checking the appropriate box).
5) Management Sequence Usual...
31
-------
SIC
Cod*
SIC
Cod* Industry
0111 Wheat
0112 Rico
0115 Com
Oil* Soybean*
0119 Cash grains, nac
0131 Cotton
0132 Tobacco
0133 Sugar crops
0134 Iran potatoes
0139 Field crops, except cash grains, nee
Oi 61 Vegetables and melons
0171 Berry crops
0172 Grapes
0173 Tree nuts
0174 Citrus fruits
0175 Deciduous tree fruits
0179 Fruits and tree nuts, nee
0181 Ornamental nursery products
0182 Food crops grown under cover
Q189 Horticultural specialties, nee
0191 General farms, primarily crops
02i i Beef cattle feedlots
0212 Beef cattle, except feedlots
0213 Hogs
0214 Sheep and goats
02*9 General livestock, nee
02^1 Dairy farms
0251 Broiler, fryer, and roaster chickens
0252 CMicken eggs
0253 Turkeys and turkey eggs
025^ Poultry hatcnenes
0259 Poultry and eggs, nee
0271 Fur-oearmg animals and rabbits
0272 Horses and otner equmes
0279 Animal specialties, nee
0291 General farms, pnmanry livestock
0711 Soil preparation services
0721 Crop planting and protection
0722 Crop harvesting
0723 Crap preparation services for market
0724 Cotton ginning
0729 General crop services
0741 Vetennary services, farm livestock
07^2 Vetennary services, specialties
0751 Livestock services, except specialties
0752 Animal specialty services
0761 Farm labor contractors
0762 Farm management services
0781 Landscape counseling and planning
0782 Lawn and garden services
0783 Ornamental snruo ano tree services
08U Timoer tracts
0821 Forest nurseries and seed gathering
0843 Extraction of pine gum
0849 Gatnenng of forest products, nee
08S1 Forestry services
0912 Finfish
0913 Shellfish
0919 Miscellaneous manne products
0921 Fish hatchenes and preserves
0971 Hunting, trapping, game propagation
1011 Iron ores
1021 Copper ores
1031 Lead and zinc ores
1041 Gold ores
1044 Silver ores
1051 Bauxite and other aluminum ores
1061 Ferroalloy ores, except vanadium
1081 Metal mining services
1092 Mercury ores
1094 Uranium, radium, vanadium ores
1099 Metal ores, nee
1111 Anthracite
1112 Antnracte mining services
1211 Bitumir!c*s coal and lignite
1213 Bituminous and lignite services
1311 Crude se-oieum and natural gas
1321 Natural gas HQUKJS
1381 Drilling on ana gas wells
1382 Oil ana gas exploration services
1369 Oil and gas field services, nee
1^11 Dimension stone
1422 Crushed ana Broken limestone
1423 Crusnea arc sroxert granite
1429 Crusnea anc 3.-o*en stone nee
144.2 Construction sana anc gravei
1446 industrial sana
1452 Sentamte
1453 Preciay
1454 Fullers eann
1455 Kaolin ana sail clay
i4£ ; Clay ana reiatea nmerais. nee
1472 Barite
1473 Fluorspar
1471 Potash. soaa ana Sarate minerals
1475 Phospnate rocx
1476 Rock salt
1477 Sulfur
1479 Chemical and fertilizer mining, nee
1481 Nonmetaidc minerals services
1492 Gypsum
1496 Talc, soaostone. and oyroonyihte
1499 Nonmetailic minerals, nee
1521 Single-family nousing construction
Note: nee not elsewhere classified.
32
-------
SIC
Co* taductry
SIC
Cod* Industry
1522 Residential construction, nee
1531 Operative builders
1541 Industrial buildings and warehouses
15^2 Nonresidential construction, nee
1611 Highway and street construction
1622 Bndge. tunnel, and elevated highway
1623 Water, sewer, and utility lines
1C29 Heavy construction, nee
1711 Ptumoing. heating, air conditioning
1721 Painting, paper hanging, decorating
1731 Electrical work
1741 Masonry and other stone* ark
1742 Plastering, drywall. and insulation
1743 Terrazzo. tile, marble, mosaic work
1751 Carpentering
1752 Floor laying and floor work, nee
1761 Roofing and sheet metal work
1771 Concrete work
1781 Water well drilling
1791 Structural metal erection
1793 Glass and glazing work
1794 Excavating and foundation work
1795 Wrecking and demolition work
1796 installing building equipment, nee
1799 Special trade contractors, me
2011 Meat packing plants
2013 Sausages and other prepared meats
2016 Poultry dressing plants
20i 7 Poultry ana egg processing
2C21 Creamery Suiter
2022 Cheese, natural and processed
2023 Condensed and evaoorateo milk
2024 ice cream and frozen desserts
2028 Fluid milk
2032 Canned specialties
2033 Canned fruits and vegetables
2034 Dehydrated fruits, vegetables. SOUPS
2035 Pickles, sauces, and salad dressings
2037 Frozen fruits and vegetaoies
2038 Frozen specialties
2041 Hour and other gram mill products
2043 Cereal breakfast foods
2044 Rice milling
2045 Blended and prepared flour
2046 Wet corn milling
2047 Dog. cat. and other pet food
2048 Prepared feeds, nee
2051 Bread, cane, and related products
2052 Cookies and crackers
2061 Raw cane sugar
2062 Cane sugar refining
2063 Beet sugar
2065 Confectionery products
2088 Chocolate and cocoa products
2067 Chewing gum
2074 Cottonseed oil mills
2075 Soybean oil mills
2078 Vegetable oil mills, nee
2077 Animal and marine fats and oils
2079 Shortening and cooking oils
2082 Mattoeverages
2063 Man
2084 Wines, brandy, and brandy spirits
2085 Distilled liquor, except brandy
2086 Bottled and canned soft drinks
2087 Flavonng extracts and syrups, nee
2091 Canned and cured seafoods
2092 Fresn or frozen packaged fish
2095 Roasted coffee
2097 Manufactured ice
2098 Macaroni and spaghetti
2099 Food preparations, nee
2111 Cigarettes
2*2' Cigars
2 * 3' Chewing and smoking tobacco
2'-' Tooacco stemming and reorymg
22'' Weaving mills, cotton
222' weaving mills, synthetics
223i weaving and finishing mills, wool
2241 Narrow fabric mills
2251 Women's hosiery, except SOCKS
2252 Hosiery, nee
2253 Knit outerwear mills
2254 Kmt uncerwear -mils
2257 C.rcaiar *nn faopic ^'ils
2253 War: «mt faonc -mils
2259 Kmtttng mills, nee
2261 F-nisnmg plants, cotton
22S2 Fin-.snmg plants, synthetics
2269 F'-msning plants, nee
227i Woven carpets and rugs
22^2 Tufted carpets ana rugs
22*9 Caraets ana rugs, nee
2281 Yarn mills, except wool
2282 Throwing and winding mills
2283 Wooi yam mnis
2284 Thread mills
2291 Felt gooes, except woven felts and hats
2292 Lacs gooas
2293 Paddings and upholstery filling
2294 Processed textile waste
2295 Coated faoncs. not ruooenzed
2296 Tire cord and faonc
2297 Nonwoven faoncs
Note: nee not elsewhere classified. 33
-------
SIC
SIC
Code Industry
2298 Cordag* and twin*
2299 Te*tfla goods, nee
2311 Men's and boys'suits and coats
2321 Men's and boy's shirts and mghtwear
2322 Men's and boys'underwear
2323 Man's and boys' nsckwaar
2327 Man's and boys' separate trousers
2328 Man's and beys'work clothing
2329 Men's and boys'doming, nee
2331 Women's and misses' blouses and waists
2335 Women's and misses' dresses
2337 Women's and misses' suits and coats
2339 Women's and misses' outerwear, nee
2341 Women's and children's underwear
2342 Brassieres and allied garments
2351 Millinery
2352 Hats and caps, except millinery
2361 Children s dresses and blouses
2363 Children's coats and suits
2369 Children's outerwear, nee
2371 Fur goods
2331 Fabric dress and work gloves
2334 Roees and dressing gowns
2235 Waterproof outergarmems
2336 Leather and sheep tinea clothing
2387 Apparel belts
2339 Apparel and accessories, nee
2391 Curtains and draperies
2392 House fumianings. nee
2393 Textile bags
2394 Canvas and related products
2395 Pleating and stitcnmg
2396 Automotive and apparel trimmings
2397 ScrnrHi macnme emoroidsnes
2399 Fabricated textile products, nee
24ii Logging camps and fogging contractors
2421 Sawmills and planing mills, general
2426 Hardwood dimension and flooring
2429 Special product sawmills, nee
2431 Millwork
2434 wood kitchen cabinets
2435 Hardwood veneer and plywood
2436 Softwood veneer and plywood
2439 Structural wood members, nee
2441 Nailed wood boxes and snook
2448 WOOD pallets ana sxias
2449 wood containers, nee
2431 Moonenomas
2452 Pretaoncated wood buildings
2491 wood preserving
2492 Pamcieooard
2499 Wood products, nee
2511 Wood household furniture
2512 Upholstered household furniture
2514 Metal household furniture
2515 Mattresses and bedspnngs
2517 Wood TV and radio cabmets
2519 Household furniture, nee
2521 Wood office furniture
2522 Metal office furniture
2531. Public building and related furniture
2541 Wood partitions and fixtures
2542 Metal partitions and fixtures
2591 Drapery hardware and Minds and shades
2599 Furniture and fixtures, nee
2611 Pulp mills
2621 Paper mills, except building paper
2631 Papertaoard mills
2641 Paper coating and glazing
2642 Envelopes
2643 Bags, except textile bags
2645 Die-cut paper and board
2646 Pressed and molded pulp goods
2647 Sanitary oaper products
2648 Slauone-/ aroducis
2649 Convene: pacer products, nee
2651 Foicirg : asercoard boxes
2552 Set-uo caserooaro boxes
2653 Corruc,a:a3 and solid fiber boxes
2654 Sanitary 'cod containers
2655 Fiber cans, drums, ana similar products
2661 Budding oaoer ana Doara mills
2?i 1 Newspapers
272". Periodicals
2731 BOCK puoi.snmg
2732 BOOK pnn:ng
2741 Misceiianecv.3 3-3lisrting
2751 Commercial anming. lenercress
2752 Commercial annt-rg. litncc/asnic
2753 Engraving ana state prntmg
2T54 Commercai anming. gravure
2781 Manifold ausiness 'orms
2771 Greeting cara auousnmg
2782 BlanKoaoKs ana 'ooseieaf binders
2789 Bookoincmg and related worn
2791 Typesetting
2793 Photoengraving
2794 E!ec:rotyomg ana stereotyping
2795 Utrtograonic oiatemamng services
26i2 Alkalies ana cmorme
2813 industrial gases
28^6 inorganic pigments
2819 Industnai inorganic chemicals,
2821 Plastics materials ano resins
Note: nee not eisewnere classified.
-------
SIC
Cod* industry
SIC
Cod* Industry
2822 Synthetic rubber
2823 Cettutasic man-mad* fibers
282* Organic fibers, noncellulosic
2831 Biological products
2833 Medicmais and botanicals
2834 Pharmaceutical preparations
2841 Soap and other detergents
2842 Polishes and sanitation goods
2843 Surface active agents
2844 Toilet preparations
2851 Paints and allied products
2881 Gum and wood chemicals
2865 Cyclic crudes and intermediates
2869 Industrial organic chemicals, nee
2873 Nitrogenous fertilizers
2874 Phospnanc fertilizers
2875 Fertilizers, mixing only
2879 Agricultural chemicals, nee
2891 Adhesive* ana sealants
2892 Explosives
2893 Pnnting mx
2895 Carbon alack
2899 Chemical preparations, nee
291 i Petroleum refining
2951 Paving mixtures and blocks
2952 Asphalt felts and coatings
2992 Luoncating oils and greases
2999 Petroleum and coal products, nee
3d 1 Tires and inner tubes
3C21 Rubber and plastics footwear
3031 Reclaimed rubcer
30-1 Rubber and plastics hose and belting
3C63 Facrrcated ruooer products, nee
3079 Miscellaneous plastics orooucts
3i i1 Leather tanning ana finishing
3131 Boot and shoe cut stock ano findings
3142 House slippers
3143 Men's footwear, except athletic
3144 women's footwear, except athletic
3149 Footwear, except rubber, nee
3151 Leather gloves and mittens
3161 Luggage
3171 Women s handbags and purses
3i 72 Personal leather goods, nee
3i99 Leather gooos. nee
32n Rat glass
3221 Glass containers
3229 P'essed and biown glass, nee
323i P'ooucts of ourcnased glass
32*1 Camem. hydraulic
3251 3".ex and structural clay tile
3253 Ceramic wail ano 'loor tile
3255
3259
3281
3262
3263
3264
3269
3271
3272
3273
3274
3275
3281
3291
3292
3293
3295
3296
3297
3299
331 2
33 1 3
33 * 5
33 ' e
33 i "
332*
3322
3324
3325
3331
3332
3333
333*
3339
335 1
3353
335-t
3355
3355
3357
336 1
3362
3369
3398
3399
34U
3412
3421
3423
3425
Clay refractories
Structural clay products, nee
Vitreous plumbing fixtures
Vitreous china food utensils
Fine earthenware food utensils
Porcelain electrical supplies
Pottery products, nee
Concrete Woe* and bnek
Concrete products, nee
Ready-mixed concrete
Lime
Gypsum products
Cut stone and stone products
Abrasive products
Asbestos products
Gaskets, packing, and sealing devices
Minerals, ground or treated
Mineral wool
Nonclay refractories
Nometallic mineral products, nee
Blast furnaces and steel mills
Eiectrometallurgical products
S :eei wire and related products
Z aid finishing of steel shapes
Steel pipe and tubes
Gray iron foundries
Malleable iron foundries
Sceel investment foundries
Steel Sundries, nee
Pf-mary copper
Primary lead
P-ir-ary zinc
P'-r-ary aluminum
°'imarv nonferrous metals, nee
Secondary ndnferrous metais
Cocoe' roiling and drawing
Aluminum sneet. oiate. anc 'oil
Aiurrvnur- extruced products
Aluminum roiling and drawing, nee
Nonferrous rolling and drawing, nee
Nonferrous wire drawing and insulating
Alumnum foundries
Brass, aronze. and coooer 'oundr.es
Nonferrous fdundr-es. nee
Metal neat treating
Primary metal products, nee
Metaicans
Metal barrels, drums, and sails
Cuiie-y
Hand and edge tools, nee
Hand saws and saw biaces
Hardware, nee
Note: nee * not elsewhere classified.
35
-------
SIC
SIC
Cod* Industry
3431
3432
3433
3441
3442
3443
3444
3446
3448
3449
3451
34S2
3462
3463
3465
3466
3469
3471
3479
3482
3463
3464
3469
3493
3494
3495
3496
3497
3496
3499
3511
35'9
3523
3524
3531
3532
3533
3534
3535
3536
3537
3541
35*12
3S44
3545
3546
3547
35*9
3551
35=2
3553
355-1
Metal sanitary wart
Plumbing fittings and brass goods
Heating equipment, except electric
Fabricated structural metal
Metal doors, sash, and trim
Fabricated plate work (boiler shops)
Sheet metal work
Architectural metal work
Prefabricated metal buildings
Miscellaneous metal work
Screw machine products
Bolts, nuts, nvets. and washers
lion and steel forgings
Nonferrous forgtngs
Automotive stampings
Crowns and closures
Metal stampings, nee
Plating and polishing
Metal coating and allied services
Small arms ammunition
Ammunition, except tor small arms, nee
Small arms
Ordnance and accessories, nee
Steal springs, except wire
Valves and pipe fittings
Wire springs
Miscellaneous fabncated wire products
Metal (oil and leaf
Fabricated pipe and fittings
Fabricated metal prooucts. nee
Turbines and turc'ne generator sets
internal comcustion engines, nee
Farm macnmery and equipment
Lawn and garden equipment
Construction machinery
Mining machinery
OH flew macnmery
Sevatora and moving stairways
Conveyors and conveying machinery
Hoists, cranes), and monorails
Industnattru
Ml
Macmne tools, metal cutting types
Machine tools, metal forming types
Special dies, tools, jigs, and fixture
Macnme tool accessones
Power driven nand tools
Polling mill machinery
Metalwormng macnmery, nee
Food products machinery
Textile macnmery
Wocdworxmg macnmery
Paper industries macnmery
3555 Printing trades machinery
3559 Special industry machinery, nee
3561 Pumps and pumping equipment
3562 Ball and roller peanngs
3563 Air and gas compressors
3564 Blowers and fans
3565 Industrial patterns
3566 . Speed changers, drives, and gears
3567 Industnal furnaces and ovens
3568 Power transmission equipment, nee
3569 General industrial machinery, nee
3572 Typewriters
3573 Electronic computing equipment
3574 Calculating and accounting machines
3576 Scales and balances, except laboratory
3579 Office machines, nee
3581 Automatic merchandising machines
3582 Commercial laundry equipment
3585 Refrigeration and heating equipment
3586 Measunng and dispensing pumps
3589 Service industry machinery, nee
3592 Carou'9':-s pistons, nngs. valves
3599 Macrve1- except electrical, nee
3612 Transit'J'S
3613 Switcngea and switchboard apparatus
3621 Motors ar : generators
3622 Industrial camrols
3623 Welding apparatus, electrical
3624 Carbon ana graphite products
3629 Electrical industrial apparatus, nee
33i HousenoiC :ccning equipment
3632 Hcusencic -elrige'ators and freeze'S
3623 Housenoic aurc-y acuoment
363-1 E ec:nc nousewarss and 'ans
3635 t-cusencic ^ac-jum cleaners
3636 Sewing -nac-vies
3639 Housenoid aooiiances. nee
2641 E'actric iarr;s
3643 Current-caring
-------
SIC
Coo* Industry
SIC
Cod* Industry
3879 Electronic capacitMB
3676 Eloctranic resistors
3677 Electronic coils and transformers
3678 Electronic connectors
3679 Btctrontc component j. ntc
3691 Storage batteries
3692 Primary batteries, dry and wot
3693 Xway apparatus and tubes
3694 Engino olactncal equipment
3699 Elactrical equipment and supplies, nac
3711 Motor vetidaa and car bodies
3713 Truck a : bus bodies
3714 Motor venide parts and accassonea
371S Truck trailers
3716 Motor homes on purchased chassis
3721 Aircraft
3724 Aircraft engines and engine parts
3728 Aircraft equipment, nee
3731 Snip building and repairing
3732 Boat building and repairing
3743 Railroad equipment
3751 Motorcycles, bicycles, and parts
3761 Guided missiles and space vemdes
3764 Space propulsion units and parts
3769 Space vehicle equipment, nac
3752 Travel trailers and campers
3795 Tanks and tank components
3799 Transportation equipment, nee
3611 Engineering and scientific instruments
3822 Environmental controls
3623 Process control instruments
3824 Ffuid mete's and counting devices
3825 instruments to measure electricity
3829 Measunng and controlling devices, nee
3832 Optical instruments and lenses
3841 Surgical and medical instruments
3842 Surgical appliances and supplies
3843 Dental equipment and supplies
3651 Ophthalmic goods
3861 Photograph* equipment and supplies
3873 Watches, dock*, and watchcases
3911 Jewelry, preooua metal
3914 Silverware and plated ware
391S Jewelers' materials and lapidary work
3931 Musical instruments
3942 Dolls
3944 Games, toys, and children s vehicles
3949 Soornng and athletic gooes, nee
3951 Pens and mechanical pencils
3952 lead pencils ana art gooos
3953 Marking devices
3955 Caroon paper and mKed ribbons
3961 Costume jewelry
3962 Artificial flowers
3963 Button*
3964 Needles, pins, and fasteners
3991 Brooms and brushes
3993 Signs and advertising displays
3995 Burial caskets
3996 Hard surface floor coverings
3999 Manufacturing industries, nee
4011 Railroads, line-haul operating
4013 Switching and terminal devices
4041 Railway express service
4111 Local and suburban transit
4119 Local passenger transportation', nee
4121 Taxieabs
4131 Intercity highway transportation
4141 Local passenger charter service
4142 Charter semes, except local
4151 School buses
4171 Bus terminal facilities
4172 Bus service facilities
4212 Local trucking, without storage
4213 True' ng. except local
4214 Local Tucking and storage
4221 Farm aroduct warehousing and storage
4222 Refngerated warehousing
4224 Household goods warehousing
4225 General warenousing and storage
4226 Special warehousing and storage, nee
4231 TrucKing terminal facilities
4311 U.S. Postal Service
4411 Deep sea foreign transoortation
4421 Noncontiguous area transacnation
4422 Coastwise transportation
4423 tntercoastai transoortation
4431 Great Lanes transportation
4441 Transoonauon on nvers and canals
4452 Femes
4453 bgnterage
4454 Towing and tugboat service
4459 Local water transportation, nee
4463 Marine cargo nancling
4464 Canal operation
4469 Water transoortation services, nee
45i1 Certified air transportation
4521 Noncemhed air transoortation
4582 Airports ano flying fields
4583 Air terminal services
4612 Crude petroleum pipelines
4613 Refined petroleum pipelines
4619 Pipelines, nee
4712 Preigm'orwaromg
Note: nee not elsewhere classified.
37
-------
SIC
Codt Industry
SIC
Cod* Industry
4722 Passenger transportatidn arrangement
4723 Freigm transportation arrangement
4742 Railroad ear rental with service
4743 Railroad ear rental without service
4782 Inspection and weighing services
4783 Packing and crating
4784 Fixed facilities tor vehicles, nee
478* Transportation services, nee
4811 Telephone communication
4821 Telegraph communication
4832 Radio broadcasting
4833 Television broadcasting
4911 Beeinc services
4922 Natural gas transmission
4923 Gee transmission and distribution
4924 Natural gas distribution
4929 Gas production and/or distribution
4931 Sectnc and other services comomed
4932 Gas and other services combined
4939 Comomaoon utility services. nee
4941 Water supply
4952 Sewerage systems
4953 Refuse systems
4959 Sanitary services, nee
4981 Steam supply
4971 irrigation systems
5012 Automobiles and other motor venicfes
S013 Automotive parts and supplies
SOY 4 Tires and tubes
5021 Furniture
5023 Home furnishings
5031 Lumoer. plywood, and millwork
5039 Construction materials, nee
5041 Sporting and recreational goods
5042 Toys and hobby goods and supplies
50«3 Photographic equipment and supplies
5051 Metals service centers and offices
5052 Coal and other minerals and ores
5063 Electrical apparatus and equipment
5084 Becmcal appliance* TV and radios
5065 Electronic pans and equipment
5072 Hardware
5074 Plumbing and hydronic heating supplies
5075 Warm air netting and air conditioning
5078 Refrigeration equipment and supplies
5081 Commercial machines and equipment
5082 Construction and mining machinery
5083 Farm machinery and equipment
5084 industnal machinery and equipment
5065 Industnal supplies
5086 Professional equipment and suppi «s
5087
5068
5093
5094
5099
5111
5112
5113
5122-
5133
5134
5138
5137
5139
5141
5142
5143
51*4
5145
5148
5147
5148
5149
5tS2
5)53
5159
Si*?'
5l~1
5172
5T81
5182
5191
5198
5199
5211
5231
5251
5261
5271
5311
5331
5399
5411
5422
5423
5431
S4A1
5451
5462
5463
Service establishment equipment
Transportation equipment and supplies
Scrap and waste materials
Jewelry, watches, and precious stones
Durable goods, nee
Printing and writing paper
Stationery supplies
Industnal and personal service paper
Drugs, proprietaries, and sundries
Notions and other dry goods
Men's clothing and furnishings
Women's and children's dotting
Footwear
Groceries, general lino
Frozen foods
Dairy products
Poultry and poultry products
Confectionery
Fish and seafoods
Meats and meat products
Fresh fruits and vegetables
Groceries and related products, nee
Cotton
Srain
uvestocK
Farm-oroduct raw materials, nee
Chemicals and allied products
Petroleum oulk stations and terminals
Petroleum products, nee
Beer and ale
Wines and distilled beverages
Farm suoooes
Tobacco and tooacco products
Paints, varmsnes. ana supplies
Nonduraoie goods, nee
Lumber and otrter ouildmg materials
Paint, glass, and wallpaper stores
Hardware stores
Retail nurseries and gardens
Mobile home dealers
Department stores
Variety stores
Miscellaneous general merchandise stores
Grocery stores
Freezer and locxer meat provisioned
Meat and fish (seafood) markets
Fruit stores and vegetable markets
Candy, nut. and confectionery stores
Dairy products stores
Retail bakeries, oakmg and selling
Retail oakeries, selling only
Note: nee not elsewhere classified.
38
-------
SIC
Code Industry
5499 Miscellaneous food stores
5911 New and used car dealers
S921 UMd car (toilers
5531 Auto and home supply stores
5541 Gasoline service stations
5991 Boat dealers
9961 Recreation and utility trailer dealers
5971 Motorcycle dealer*
5599 Automotive dealers, nee
5611 Men's and boys' clothing and furnishings
5621 Women's ready-to-wear stores
5631 Women's accessory and specialty stores
5641 Children's and infants' wear stores
5651 Family dotting stores
5661 Shoe stores
5661 Fumers and fur stops
5699 Miscellaneous apparel and accessories
5712 Furniture stores
5713 Floor covering stores
5714 Drapery and uohcistery stores
5719 Miscellaneous tame Furnishings stores
5722 Housenoid appliance stores
5732 Radio ana televis.cn stores
5733 Music stores
5612 Eating places
5613 Drinking places
5912 Drugstores and proprietary stores
5921 Lauor stores
5931 used mercnandise stores
5941 Sporting goods and Bicycle shops
5942 BOOK stores
5343 Stationery stores-
5944 Jewelry stores
5946 Hooey, toy. and game shops
5946 Camera and pnotograpnic supply stores
5947 Gift novelty, and souvenir shoos
5946 Luggage and leather goods stores
5949 Sewnng, needlework, and piece goods
5961 Mad order houses
5962 Merchandising machine operators
5963 Direct selling organizations
5962 Fuel and «e dealers, nee
5983 Fuet oil dealers
5964 uauefied petroleum gas dealers
5992 Florists
5993 C.gar stores and stands
5994 News dealers ana newsstands
S999 Miscellaneous retail stores, nee
60i i Federal Rese-ve oanws
6022 State canits. F«cerai Reserve
6023 State oanxs. tot Federal Reserve. FQiC
6024 State panns. not Federal Reserve notFQiC
6029 National bank*. Federal Reserve)
6026 National banks, not Federal Reserve. FOlC
6027 National banks, not FOlC
6026 Private banks, not incorporated, not FOlC
6032 Mutual savings banks. Federal Reserve
6033 Mutual savings banks, nee
6034 Mutual savmgs banks, not FOlC
6042 Nondepesrt trust*. Federal Reserve
6044 Nondeeoarttrusta.net FOlC
6092 ForeigftexcriangaeataWisitmenta
6059 Cleannghouee aaanrlaMetia
6096 Corporations) for bantdng abroad
6059 Functwne related to banking, nec
6112 Bedis«ovntlng. not for agricultural
6113 Redtscoummg. for agricultural
6122 Federal savings and lean aatadatlena
6123 State aaaooaoona. insured
6124 State associations, nonmsured. FMLB
6129 State associacons. noninsurod. nee
6i3i AgneuKural credit institution*
6' *2 Federal credit unions
5 - 3 State credit unions
5 --t Nondeposit mdustnal loan companies
6 -5 Lcensed small loan lenders
-o i nstaiiment sales finance companies
6 * -9 Miscellaneous personal credit institution:
6i53 Short-term ousmess credit
6153 Miscellaneous ousmess credit institution
6162 Mortgage banners and correspondents
6'53 Laansroners
62'i Secur.ty crows ana dealers
622' Conmocity contracts 3rc«e'9. dealers
623" 3«C4fty ana commoany exchanges
629* S^cunty and commocity se'vices
63*i L fe-nsurance.
622 * Ace-dent and neaitn insurance
22- Hosoxai and -nedical se*v ce plans
633'' F-re marine, and casualty nsurance
6351 Surety -nsurance
6361 Title insurance
6371 Pension, health, and wei'a-e runos
6399 Insurance carriers, nee
641 T insurance agems. crone's and servic
6512 Nonresidennal building oserators
513 Apartment building operators
65 T 4 Dwelling operators, exceat apartment
6515 Mobile nom* sue operators
6517 Railroad property lessors
6519 Real property lessors, nee
6531 Real estate agents and managers
6541 Title aostract offices
.- n»f . not elsewhere classified.
39
-------
SIC
SIC
Cod* Industry
65S2
6553
6611
6711
6722
6723
6724
6729
6732
6733
6792
6793
6794
6798
6799
7011
7021
7032
7033
7041
721 1
7212
7213
7214
72-5
72T6
7217
-2« 8
7219
7221
723t
72S1
7291
7299
7311
73T2
7313
7319
7321
7331
7332
7333
7339
7341
7342
7349
735 1
7361
7362
7369
7372
Subdivide* and developers, nee
Cemetery subdnndefs and developers
Combined real estate, insurance, etc.
Hotting offiees
Management investment, opon*4nd
Management investment, closed-end
Unit investment trusts
Face-amount certificate offices
iaJ. religious, etc. trusts
Trusts, nee
OU royalty traders
Commodity traders
Patent owners and lesson
fli
itr
t trusts
investors, nee
Hotets. motets, and tounst courts
Rooming and boarding nouses
Soomng and recreational camps
TruJenng pants for transients
Memeersnip-basia organization hotels
Power laundnes. Family and commercial
Garment pressing and cleaners agents
Unen supply
Diaper service
Coin-operated laundnes and cleaning
Ory cleaning plants, axcaot rug
Carpet and uonolstery cleaning
inoustnai launderers
Laundry and garment services, nee
Ptcrograpmc studios, portrait
Beaury snopa
Barear snoes
Shoe repair and hat cleaning snocs
Funeral service and crematones
Miscsiianeoua personal services
Advertising agencies
Outdoor advertising services
Radio. TV. publisher representatives
Advernatng. nee
Credit reporting and collection
aiueenrmng and photocopying
GomnitnCetf oftoto^npny tv^d «ur
Stsnograome and reproduction, nee
Window cleaning
Disinfecting and exterminating
Building maintenance services, nee
News syndicates
Employment agencies
Temporary neio supply services
Personnel supply services, nee
Computer programming and software
7374 Data processing sen/wee
7379 Computer related services, nee
7391 Research and development laboratories
7392 Management and public reiationa
7393 Detective and protective services
7394 Equipment rental and leasing
7395 Photoflniarung laboratories
7396 Trading stamp services
7397' Commercial testing laboratonea
7399 Business services, nee
7912 Passenger car rental and leasing
7513 Truck rental and (easing
7519 Utility trailer rental
7523 Parking tots
7525 Parking structures
7531 Top and body repair shops
7934 Tire retreading and repair shops
7535 Paint shoos
7536 General automotive repair shops
7539 Automotive repair snops. nee
7542 Carwasnes
7549 Automotive services, nee
7622 Radio a-c -revision repair
7623 Refnge'a: en service and repair
7629 E!.ec:rcai -eaair snoos. nee
7831 Watcn rccx. and jewelry repair
7641 Reuancisis-y and furniture repair
7692 Welding reoair
7694 Armature rewinding snops
7653 Repair services, nee
7813 Motion oicture orcduction. exceot TV
781-t Motion aicture aroducticn 'or TV
78*9 Services aiiiac :o .-notion oictures
7823 Motion gic:.re 'iim »xc.iano.es
7824 Filmor?aoediS(rioit:cn?orTV
7829 Motion cicture astncution services
7832 Motion octure theaters exceot arwe-n
7833 Onve^n motion picure theaters
79i t Oance nails, studios, and scnoots
7922 Tneatncai craaucem and services
7929 Entertainers and entertainment jrauas
7932 Billiard and oool estaonsnmenis
7933 Bowling alleys
7941 Scons clues and promoters
7946 Racing, including track operation
7992 Pueiie golf courses
7993 Coin*ooeratea amusement devices
7996 Amusement earns
7997 Memoersnio soons and recreation duos
7999 Amusement and recreation, nee
SOU Offices of onysicians
8021 Offices of oentists
Note: nee not elsewhere classified.
40
-------
SIC
Code Industry
8031 Offices of oeteocatnic physicians
8041 Offices of chiropractors
3042 Offices of optometrists
8049 Offices of health practitioners, nee
8051 Skilled nurse care facilities
8059 Nursing and personal care, nee
8062 General medical and surgical hospitals
8083 Psychiatric hospitals
8069 Specialty hospitals, except psychiatric
8071 Medical laboratones
8072 Dental laboratories
8081 Outpatient care facilities
8091 Health and allied services, nee
8111 Legal services
8211 Elementary and secondary schools
8221 Colleges and universities, nee
8222 Junior colleges
8231 Libraries and information canters
8241 Correspondence schools
8243 Data processing schools
8244 Busirass and secretarial schools
8249 Voca.ional schools, nee
8299 Schools and educational services, nee
8321 Individual and family services
8331 Joo training and related services
8351 Child day care services
8361 Residential care
8399 Social services, nee
8411 MLiflums and art galleries
8421 Botanical and zoological gardens
8611 Business associations
8621 Professional orgamzations
8631 Labor organizations
8641 Civic ano social associations
8651 Political organizations
8661 Religious organizations
8699 Memeership organizations, nee
8811 Pnvate households
8911 Engineering and architectural services
8922 Noncommercial research organizations
8931 Accounting, auditing, and bookkeeping
8999 Services, nee
9111 Executive offices
9121 Legislative bodies
9131 Executive and legislative combined
9199 General government, nee
9211 Courts
9221 Police protection
9222 Legal counsel and prosecution
9223 Correctional institutions
9224 Fire protection
9229 Public order and safety, nee
9311 Finance, taxation, and monetary policy
9« 11 Administration of educational programs
9431 Administration of public health programs
9441 Administration of social and manpower programs
9451 Administration of veterans' affairs
9511 * ' water, and solid waste management
9512 w i" ". mineral, wildlife conservation
9531 Housing programs
9532 t rr 30 and community developm ent
96 n Ac-mistration of general economic programs
9621 Peculation, administration of '.ransoonation
9631 Pagination, administration of utilities
9641 Hec>a:ion of agricultural marxeting
9651 Regulation miscellaneous commercial sectors
9651 Soace -esearcn and technology
9711 Nararai security
9721 imernar.cnai art airs
SS99 Nonc.'ass.ftaa'e estaoiisnment
Note: nee not elsewhere classified.
41
-------
or
^gr oe/ /»r/o>v
WASTE DESCRIPTION CODES FOR RCRA F. K. P. and U WASTE CODES
A01 K waste, exactly as described'
A02 (=001-POOS, as a spent solvent (organic
liquid)
A03 F001-F005. as a still bottom (organic
sludge)
A04 (=0064=028 waste, exactly as described*
ACS Aqueous wastes by mixture/derivation
rule containing F, K. P. or U (e.g..
leacnate, scrubber water, or other
wastawanra)
A06 Soil or cleanup residue contaminated
with F. K. P. or U
A07 P or U. as a concentrated off-
specification or discarded product
A08 Empty containers that held a P or U
waste
A09 Incinerator ash from the treatment of
F. K. P. or U
A10 Solidification residual from the treat-
ment of F. K. P. or U
A11 Wastewater treatment residual from the
treatment of F, K. P, or U
A12 Other
"Exactly as described" means that we need no further clarification of the description provided in the list of RCRA waste codes in Appendix C of
the Instructions booklet.
WASTE DESCRIPTION CODES FOR RCRA D and X WASTE CODES
INORGANIC UQUIOSWaste that Is
primarily aqueous and is highly flute.
with low-to-moderate suspended inor-
ganic solids and tew organic content
B01 Solvent-water mixture
802 Oil-water emulsion or mixture
803 Concentrated water solution of or-
ganics
804 Wastewater with trace organics
80S Concentrated spent acid with no
metais
806 Spent acids with metals
807 Acidic aoueous waste
808 Concentrated noncorrosive. aqueous
solution of metals
809 Wastewater or dilute solution with
metals
810 Caustic aqueous waste with metals
only
S'' Caustic acueous waste with cyanic.es
ars retals
S12 Caustic acueous waste with cyanides
oniy
3:3 Caustic acueous waste with suffices
5* Caustic aqueous waste
5:5 Concentrated waste caustic
=,'5 Acuecus waste with strong oxidizers
B'7 Acueous waste with strong reducants
318 Aqueous waste with explosives
819 Waste liquid mercury
820 Other aqueous waste with high dis-
solved solids (brine)
821 Other aqueous waste with low dis-
solved solids content
822 Other inorganic liquid
INORGANIC SLUDGESWaste that is
primarily inorganic, with moderate organ-
ic content and/or moderate water con-
tent; potentially settles into two phases
823 Inorganic sludge contaminated primari-
ly wttn solvents, oil. or other organics
824 Higniy acidic sludge with metals
825 Other highly acidic sludge
826 Metal hycroxide sludge
827 SuHide slucge
828 Suifate or suitite sludge
829 Cyanide sludge
830 Other caustic sludge
831 Sludge with strong oxidizers
832 Sludge with strong reductants
833 Sludge with explosives
834 Brine sludge (with high chloride, fluo-
ride. or bromide)
83S Nutrient sludge (with high nitrate,
phosphate, or urea)
836 Spent filtering aids
837 Wet scrubber sludge (fly ash), metal
oxides, or ores
838 Sludge of metal scale, filings, or
scrap (crushed drums)
839 Inorganic paint or pigment sludges
840 Other inorganic sludges
INORGANIC SOLIDS Waste that is
primarily inorganic and solid, with low
organic content and low water content
841 Soil or debris contaminated primarily
with solvents, oil. or other organics
842 Other contanina-:-r :cil o>- reons
8-13 Sail of a strong :::
844 Sait of a string : m
(solid NaCH. KC-. *::.)
8^5 Suifare or SL:r,:e
846 Cyamce sail
847 Chtorae. 'lucrse. :r --or- ~a salts
8*8 Nitrate. pnc::n;:r. :r jrea salts
849 Other metai sail
850 Strong oxioizer salt
851 Strong reductant salt
852 Solid explosive or propeilant
853 Solid spent filters
854 Dry fly asn. metal oxide. or ores
855 Solid metal scale, filings, or scrap
(crushed drums)
855 Inorganic paint or pigment solids
857 Batteries and battery parts, casings,
cores, etc
Other inorganic solids
858
ORGANIC UQUIOS Waste that is primar-
ily organic and is highly fluid, with low in-
organic, solids content and low water
content
859 Halogenated solvent
360 Ncnnatogenated solvent
B61 Waste oil
862 Any organic liquid with PCSs
B63 Any organic liquid/solution of otner
toxic organics
U?
864
865
866
867
868
Organic paint or coating (lacquer.
varnish, epoxies)
Paint thinner or spent petroleum
distillates
Reactive or polymerizeable organic
liquid
Other combustible organic liquid
Other organic liquid
ORGANIC SLUDGESWaste that is
primarily organic, with moderate
inorganic solids content and moderate
water content; potentially settles into
phases
869 Still bottoms of halogenated solvents
or liquid
870 Still bottoms of nonhalogenated
solvents or liquid
671 Oily sludge
E72 SlLCge with PCSs
=73 Siurge with ctner 'oxic organics
. E~- Crcsnic :amt s'u^ge
=" Siu"j;e with cetrc:e..T! r.'stiliates
575 3eac:;ve or poiymenisac.e or-arvc
c-7
E73
B79
880
Ses:rs cr viscous, ncntar-y organics
Tars or rarry slucge
Sioicgicai slucge
Other organic siuoge
ORGANIC SOLIDSWaste that is primar-
ily organic and solid, with low inorganic
content and low water content
881 Solid waxes or polymerized organics
882 Spent caroon contaminated wnn ;cx:<
. organics
883 Reactive organic solid
884 Halogenated off-spec or discarded
solid organic chemical
885 Organo-nitrogen organic chemical
(nitrogen pesticide)
886 Phosphoro-thioate organic cne-nicai
887 Miscellaneous off-spec organic
chemical
388 Other organic solid
-------
PROCESS COOES
TREATMENT AND RECYCLING
Incineration/thermal treatment
11 Liquid injection incineration
21 Rotary kiln incineration
31 Fluidized bed incineration
41 Multiple hearth chamber incineration
SI Pyralytic destruction
61 Other incineration/thermal treatment
ROHM aa fuel
1R Cement kiln
2R Aggregate kiln
3R Asphalt kiln
4R Other kiln
SR~ Blast furnace
6R Sulfur recovery furnace
7P Smelting, melting, or refining furnace
8R Coke oven
9R Other furnace
lOfi Industrial boiler
HR Utility boiler
12R Process heater
13R Other reuse as fuel unit
Fuel blending
iFB Fuel blending
Solidification
1S Cement-based processes
2S Pozzolanic processes
3S Asonaltic processes
45 Thermoplastic techniques
Organic polymer techniques
Jacketing (macro-encapsulation)
Other solidification
£5
63
7S
Recovery of solvents and other organic chemicals
1SR Fractionation
2SR Batch stiH distillation
3SR Solvent extraction
Thtn film evaporation
Other solvent recovery
Recovery of metala
i MR Activated carbon (for metala recovery)
2MR Electrodialysiii (for metals recovery)
Electrolytic metal recovery
Ion exchange (for metals recovery)
Reverse osmosis (for i-etals recovery)
Solvent extraction (for meiais recovery)
Ultrafillration (for metals recovery)
Other metals recovery
Waatewater treatment
Cyanide oxidation
1W Alkaline chlonnation
2W Ozone
3W Bectrochemical
4W Other cyanide oxidation
Chemical precipitation (see Note 1)
5W Lime
flW Sodium hydroxide
7W Sodaasti
8W Sulfide
9V\ Otner precipitation
Chromium reduction
10W Sodium bisulfite
11W Sulfur dioxide
12W Ferrous sulf ate
13W Other reduction
Complexed metals treatment
14W HIC-I art precipitation
15W Of-er comptexed metals treatment
Emulsion brea-.ig
16W The'tial
17W Chemical
18W Other emulsion breaking
Adsorption
19W Caroon adsorption
20W ion excnange
2'W flesm aasorpKon
22W Otner adsorption
Stnpomg
23W
24W
5SR
3MR
4MR
5MR
6MR
7MR
8MR
Filtration
25W
26W
27W
28W
Air stnoomg
Steam stripping (see Note 2)
Oiatomaceous earth
Sand
Muitimeoia
Otner filtration
Oewatenng operations
29W Gravity thickening
30 W Vacuum filtration
Pressure filtration (belt, plate, frame, and
leaO
Centrifuge
Other oewatenng
32W
33W
Air flotation
34W Dissolved air flotation
35W Otner air flotation
43
(continued)
-------
TREATMENT AND RECYCLING (continued)
Waatewater treatment (continued)
Oil skimming
36W Gravity separation
37V» Coalescing plate separation
38W Other oil skimming
Aerobic biological treatment
39W Activated sludge
40W Rotating biological contactor
41W Trickling filter
42W Waste stabilization pond
43W Other aerobic treatment
Anaerobic biological treatment
44W Anaerobic digestion
45W Other anaerobic treatment
Other wastewater treatment
46W Wet air oxidation
47W Neutralization
48W Nitrification
49W Oenrtnfication
SOW Rocculanon
Si W Settling (clarification)
52W. Other wastewater treatment
OTHER WASTE TREATMENT
1T Other waste treatment
ACCUMULATION
1A 'Containers
2A Tanks
STORAGE
1ST Container (i.e.. barrel, drum)
2ST Tank
3ST Waste pile
4ST Surface impoundment
SST Other storage
DISPOSAL
10 Landfill
20 Land treatment
3D Surface impoundment (to be dosed as a landfill)
40 Underground injection well
Off-Site Management Codes Enter the Management Process Code that you believe
will be used by the facility receiving the waste or waste mixture entered. Management
process codes are listed below.
Code
Off-Site Management Process
C01
C02
C03
C04
COS
C06
C07
COS
.........
.........
Burning in boiler
Recovery/reclamation
Incineration
Landfill
Surface impoundment
Underground injection
Discharge to POTW
--------- Discharge to surface water under NPDES
C09 ... ...... Discharge to privately-owned wastewater treatment works
CIO ......... Land application
Cll ..... Other, Specify in 'Comments*
44
-------
DEFINITIONS
CONDITIONALLY EXEMPT SMALL QUANTITY GENERATOR A site is a conditionally
exempt small quantity generator (CESQG) in any given month, if for that month it meets the
following criteria: (1) the site generated no more than 100 kilograms of hazardous waste, AND
no more than 1 kilogram of acutely hazardous waste, AND no more than 100 kilograms of
material from the cleanup of a spillage of acutely hazardous wastes; AND (2) the site
accumulated no more than 1,000 kilograms of hazardous waste, AND no more than 1 kilogram
of acutely hazardous waste, AND no more than 100 kilograms of material from the cleanup of a
spillage of acutely hazardous wastes; AND (3) the site treated or disposed of the hazardous
wastes in a manner consistent with regulatory provisions. (261.5f3 and 261.5g3)
To be a CESQG for the entire survey year, a site must meet these criteria each month of that
year. If a site meets the criteria for Full Regulation (see definition below) in any month of the
survey year, the site is subject to quantity reporting requirements for that month.
EPA NOTIFICATION OF HAZARDOUS WASTE ACTIVITY FORM (EPA FORM 8700-12) -
Under RCRA regulations, generators and processors must notify EPA of their hazardous waste
activities. The EPA Notification of Hazardous Waste Activity form is used to make this formal
notification. After receiving such a form, the Agency assigns an EPA Identification number to
the site submitting this form. So if your site has an EPA number, this form has already been
submitted; however, to have indicated generator or small quantity generator status, those boxes
indicating this status had to have been checked on the "hazardous waste activity" section of this
form. If you are unsure, refer to the form you submitted to EPA to obtain your EPA ID
number and look at Section A, "Hazardous Waste Activity," under "VI. Type of Regulated
Waste Activity."
EPA PART A PERMIT APPLICATION This is the first step in obtaining a RCRA permit to
treat, store, or dispose of hazardous waste. This application defines the processes to be used for
treatment, storage, and disposal of hazardous waste; the design capacity of such processes; and
the specific hazardous wastes to be handled at the applying facility. A Part A application must
have been filed to obtain "interim status" to allow hazardous waste facilities, existing prior to
promulgation of the RCRA regulations, to continue operations until their final permit is issued.
Thus, if your site has either interim status or a final RCRA permit to handle hazardous waste, a
Part A application has been submitted for your site. If you submitted a Part A application as a
protective measure, but you have never handled hazardous waste nor submitted a modification
to your original application, you should answer yes to the form selection question which asks if
you have ever submitted such an application.
EXIST A treatment, storage, or disposal method whose intended function is hazardous waste
handling is felt to "exist" at a site regardless of whether or not it is operational or used. Thus,
this term not only includes methods which are- operational, and used, but those which were not
used, were not operational, or were being built during the survey year.
FORMALLY WITHDRAWN ?
FULL RCRA REGULATION This term is used with regard to hazardous waste generation.
Those generators subject to full RCRA regulation are those which meet the following criteria:
(1) generated within any single month of the reporting year 1,000 or more kg of hazardous
waste, more than 1 kg of acute hazardous waste, or more than 100 kg of acute hazardous spill
-------
debris; or (2) accumulated at any time during the reporting year more than: 1,000 kg of
hazardous waste, 1 kg of acute hazardous waste, or 100 kg acute hazardous spill debris.
MANAGEMENT Includes the following hazardous waste handling methods: (1) storage in
units requiring a RCRA permit, (2) treatment in permitted or RCRA exempt processes, (3)
recycling in permitted or RCRA exempt processes, and (4) disposal in permitted or RCRA
exempt units. Excluded are containers and tanks subject to an accumulation exemption under
262.34.
The major requirements for the 262.34 accumulation exemption vary by level of waste
generation. For generators subject to full RCRA regulation, the waste cannot be stored for
more than 90 days and there are specific labeling .and handling requirements. For small
quantity generators, the storage limit is 180 days, unless the generator must transport his waste
or offer his waste for transportation over a distance of 200 miles or more. Then, the storage
period is extended to 270 days. Small quantity generators are subject to an accumulation limit
of 6,000 kilograms as well as labeling and handling requirements.
PRIMARY SOURCES This term refers to the non-hazardous waste material from which a
hazardous waste was originally generated. Wastes or residues which are derived from a
hazardous waste are considered to have been generated from a secondary source.
REGULATED FACILITY -- This is a site which treats, stores, or disposes of hazardous waste
and is subject to regulation, i.e., required to have a RCRA permit. Facilities which have
interim status are included.
SMALL QUANTITY GENERATOR (SQG) A site is a small quantity generator in any given
month if it meets the following criteria: (1) in every single month, the site generated more than
100 but no more than 1,000 kilograms of hazardous waste, AND no more than 1 kilogram of
acutely hazardous waste, AND no more than 100 kilograms of material from the cleanup of a
spillage of acutely hazardous wastes; AND (2) the site accumulated no more than 1 kilogram of
acutely hazardous waste, AND no more than 100 kilograms of material from the cleanup of a
spillage of acutely hazardous wastes; AND (3) the site stored its wastes in tanks or containers in
a manner consistent with regulatory provisions.
To be an SQG for the entire survey year, a site must meet these criteria each month of the
survey year. If a site meets the criteria for full regulation (see definition below) in any month
of the survey year, the site is subject to the reporting requirements for that month.
46
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EXCLUDED WASTES
(Reference 261.4 and 261.3c2ii of 40 CFR)
Waste Category
Waste Description
Acid
Agriculture,
Irrigation
Cement Kiln Dust
Potentially recyclable spent sulfuric acid that is used to produce virgin
sulfuric acid. To be exempt, the acid must not be accumulated
speculatively as defined in 40 CFR 261.1c.
Irrigation return flow.
Waste from a cement kiln.
Chromium,
Leather Tanning
Drilling Fluids
Emission Control
Wastes
Fertilizer
Household
A waste which is considered hazardous because (1) it is a listed due to
the presence of chromium or (2) it ha filed the characteristics of HP
toxicity due to chromium's presence. This waste must also meet the
criteria for exclusion listed in 261.4b6. See flowchart on page for
reference.
A drilling fluid, produced water or other waste associated with the
exploration, development or production of crude oil, natural gas or
geothennal energy.
Fly ash waste, bottom ash waste, slag waste or flue gas emission control
waste generated primarily from the combustion of coal or other fossil
fuels.
Solid wastes generated from growing and harvesting of agriculture
crops or raising of animals (including manure), where the waste is
returned to soil as a fertilizer.
Household waste, including household waste that has been collected,
transported, store, treated, disposed, recovered (e.g., refuse-derived
fuel), or reused. "Household waste" means any waste material
(including garbage, trash, and sanitary wastes in septic tanks) derived
from households (including single and multiple residences, hotels and
motels, bunkhouses, ranger stations, crew quarters, campgrounds, picnic
grounds, and day use recreation areas).
Note: A resource recovery facility managing municipal solid waste
shall not be deemed to be treatment, storing, disposing of, or otherwise
managing hazardous wastes for the purposes of regulation under RCRA
if that facility: (1) receives and burns only household wastes (from
single and multiple dwellings, hotels, motels and other residential
sources) and solid waste from commercial or industrial sources that
does not contain hazardous waste; and (2) does not accept hazardous
wastes and the owner or operator of the facility has established
contractual requirements or other appropriate notification or inspection
procedure to assure that hazardous wastes are neither received nor
burned in the facility.
47
-------
Excluded Wastes (Continued)
Waste Category
Waste Description
Mining
Mining, In-situ
Mining, Overburden
Nuclear
Precipitation
Runoff
Pulping Liquor
Sewage, Domestic
A solid waste from the extraction, beneficiation and processing of ores
and minerals. (This includes phosphate rock and overburden from the
mining of uranium ore.)
Material subjected to in-situ mining techniques where the material is
not removed as part of the extraction process.
Mining overburden returned to the mine site.
Source, special nuclear or byproduct material as defined by the Atomic
Energy Act of 1954, as amended 42 U.S.C. 2011 et seq. From the
Atomic Energy Act, these terms are defined as follows:
"Byproduct material" means: (1) any radioactive material (except
special nuclear material) yielded in or made radioactive by exposure to
the radiation incident to the process of producing or utilizing special
nuclear material, and (2) the tailings or wastes produced by the
extraction or concentration of uranium or thorium from any ore
processed primarily for its source material content.
"Source material" means: (1) uranium, thorium, or any other material
which is determined by the Commission pursuant to the provisions of
Section 2091 of this title to be source material; or (2) ores containing
one or more of the foregoing materials in such concentration as the
Commission may by regulation determine from time to time.
"Special nuclear material" means: (1) plutonium, uranium enriched in
the isotope 233 or in the isotope 235, and any other material which the
Commission, pursuant to the provisions of Section 2071 of this title,
determines to be special nuclear material, but does not include source
material; or (2) any material artificially enriched by any of the
foregoing, but does not include source material.
If the excluded material described above is mixed with a hazardous
waste, the material is regulated under RCRA as well as under the
Nuclear Regulatory Act.
Precipitation runoff generated by the treatment, storage, or disposal of
hazardous waste.
Potentially recyclable pulping liquor (black liquor) reclaimed in pulping
liquor recovery furnace so long as the material is reused in the pulping
process and is not accumulated speculatively as defined in 40 CFR
261.Ic.
Domestic sewage any untreated sanitary wastes that pass through a
sewer system.
48
-------
Excluded Wastes (Continued)
Waste Category Waste Description
Sewage, Domestic Any mixture of domestic sewage and other wastes that pass through a
sewer system to a publicly owned treatment works (POTW).
Wastewater, Point Industrial wastewater discharges that are point source discharges subject
Source to regulation under Section 402 of the Clean Water Act, as amended.
This exclusion applies only to the actual point source discharge. It does
not exclude industrial wastewaters while they are being collected,
stored, or treated before discharge, nor does it exclude sludges that are
generated by industrial wastewater treatment.
Wood, Wood A solid waste consisting of discarded wood or wood products which
Products fail the test for the characteristics of EP toxicity (but is not considered
hazardous for any other reason) and is generated by persons who utilize
the arsenical-treatment wood and wood products for these materials'
intended end uses.
49
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*,
M.
JT National Governors'Association wuointon
^ Governor of Arkansas
<*" Chairman
Raymond C Scheppach
Executive Director
APPENDIX C
Detail System Flow Diagrams
HALL OF THE STATES 444 North Capitol Street Washington. D.C 20001 -1572 (202) 624-5300
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APPENDIX C
SYSTEM DEFINITION
This appendix presents the current logical description of the system in
the form of diagrams generated by a system development tool. Following the
diagrams are written descriptions of the entities appearing on the diagrams.
For clarity, some of the terms used in the diagrams are defined in the
following paragraphs.
The items appearing on the diagrams are external entities, data stores,
data flows, and processes. These diagrams are intended to show the flow of
data from sources to sinks (destinations) through a variety of transforma-
tions, represented by processes. External Entities, processes, and data
stores each have a code associated with them to facilitate reference.
External entities are represented by a box and have identifiers prefixed by
"EE" (for example "EE 1" is the entity named "RESPONDENT (HANDLER}"). Data
stores have identifiers prefixed by "D". Data stores local to a process will
have the form "Dxx/n" where "xx" is the process number and "n" is a unique
number, for example "D01/1" is a data store used by process 01 exclusively.
Processes are numbered using a decimal code. At the highest level, the
numbers are two digit numbers. More decimal places are added to show
increasing levels of detail. For example, 01.01 is a subprocess of 01.
Processes which are "exploded" in another diagram have that diagram referenced
in the bottom of the process box.
Data flows are represented by a single-headed arrow. The arrowhead
designates the direction of the data flow. Data flows do not show flows of
control nor do they indicate concurrency of activities. The intent is simply
to show where the data comes from and where it goes, not how, not why, and not
when.
The following definitions are applicable to these diagrams:
o Entity -- (1) External entity: a source or destination of
data on a data flow diagram; and (2) something about which
information is stored in a data store, e.g., customer,
employees.
o External Entity (EE) An entity that represents the
scope of the system being identified. Each external entity
in the system needs to be represented by a decision maker
that will help in determining the scope and protecting
the entity's position.
o Data Flow -- A group of data moving on a data flow diagram
connecting one function to another. The origin of the
data is the source, and the receiver of the data, the
destination. One data flow (identified by a name) can
occur multiple times on a diagram and will be logged
separately in the dictionary as unique occurrences for
the same data flow name.
-------
02
o Data Store A resting place for data, once captured
by a system, that includes facts about a system's external
entities, past transactions, business policy, and
rules. Data Stores provide the 'slack' or 'give' in a
system that uses information about real-world events
across disjointed intervals of time; facts that cannot
be expressed by an algorithm are recorded.
o Process -- (Transform, Transformation). A set of operations
transforming data, logically or physically, according
to some process logic.
Following the twelve pages of data flow diagrams, the various entities
appearing in the diagrams are defined. The definitions are presented by type
of entity:
o External Entities,
o Data Stores, and
o Processes.
Each entry for these entities contains a short description of the entity
and other information that aids in understanding the purpose of the entity and
its relationship with other entities in the system. The next section of this
appendix contains the data dictionary for the data flows appearing in the
system descriptions. This appendix concludes with a summary of each of
the processes appearing in the diagrams. The summary provides in tabular form
a description of each diagram in terms of the entitites it contains. These
sections comprise the system data dictionary as it now stands. They will be
refined and expanded as system development proceeds. Once the issues
presented in this paper are resolved, sections will be added to this
dictionary. These sections will define data bases, data structures, and data
elements. At this point the data dictionary will serve as the system
functional description.
-------
DATA FLOW DIAGRAMS
-------
ANNUAL/BIENNIAL REPORT SYSTEM
EE 1
"KS3
WM
M», REGULATED
COMMUNITY
m~
01
Bra
_ air
am
Biutuii
DiU
Elt
nttfe
tin
S"
~ '
"luT*11
muui_a
Ml
iMtir
Oiti ^
EEI
'"Ifif
IK
1
i
8TI
WTD
TUN
Dltar
CNTH
A
bpln
i
«l
Mil
EZ 4
lea
water f»trt«
1
IlDltMBtOP
_B§|§ ^Jg
lvl«Mnt*r
DOMUOtU
o*u
IMPLEMENTOR DOMAIN
Proj«t
Pro|icl
Yin too
DUgpis
IDE
HIM:
1
niM:
OT3TW
OltK
innuil/BttnnUl Info.
LKtl t
MSrSTEN
Nil »h|«ICI>
Ult Hit.
os-io-ae
Sfltu
07-12-17
OVERSIGHT DOMAIN
DIAGRAM #1
-------
EE 1
ENTEH fi EDIT DAlT
Annuol/aimniol
/aimn
Far.
UMdltod
Oato
jDOI/ilUNBHTED OAU STMU6C
Annuol/aionnUl
Report Fort
Unidltrt
Oit«
f-£ntrf
Corrictteni
Unidltid
Oiti
Edtttl
P»t>
Proltct 10: BflSYSTEN
Data: 08-30-88
Pro|tct IUM: tonual/BlinnUl Info. SyotM
Viriion 8 Lo»«l 2 HIM phyilcil
Dligrti HIM: 01
Lilt RiV. 06-86-87
DIAGRAM #2
-------
£E I
EXAMINE DATA FOR KEY-ENTRY ERRORS
anuil/BimaUl
Htaort Fora
Turnaround
Kty-Entry
Exception
Report
Key-Entry
Correct lone
Project I0c BRSVSTEN
Oati: 09-30-B8
Proltct n»M: tonuil/BUimUl Info. Syoto*
Version 8 Lev*) 3 Nm phyitctl
Dligrii HIM: 01.03
LMt tav. 06-24-87
DIAGRAM #3
-------
I JL03 .J
EXAMINE
OAT* FM
KEY-ENTRY
ERRORS
Unedlte
Oat*
[q01/lJuNEDITED_DATA STORAGE
MAKE KEY-ENTRY CORRECTIONS
Kei-Entrif
Corrections
MAKE
KEY-ENTRY
CORRECTIONS
Ki»-Entr»
CoPrictlons
DETERMINE
IF
KEY-ENTRY
CORRECTIONS
ARE
REQUIRED
Data Raqutrlng
Ke»-Entf|
Cgppictloni
KBf-Entry
Coppicttd
Oatt
Data Not Hequlrlny
Kit-EntPi Correctionf
COMBINE
KEY-ENTRY
EDITED
STREAMS
Edit
Data
VALIDATE
DATA
ProUtt Ift.BASVSTElT" Date: 09-30-86]
Project nn»'L Annual/Bltnnial_Infp. S|£tBii I
Verilon 6 Level 3
Diagram naw 01.04
Nei phfsteal I
Last Re».~06-24-B7 '
DIAGRAM #4
-------
EC 0
Edit
Olti
VALIDATE DATA
Unwalldatea
__
|002/1 INVALIDATED 0*7* 3TOBA6E
(Invalidated
Data
Validation
Report
Eitarnol
lapliaantor
Data
EXAMINE
DATA FOR
REPORTING
ERRORS
Validation
Corrections
(Invalidated
Data
Validated
Oeta
Protect ID: BRSYSTEN
Date: 09-30-86
Project naaa: Annual/BUnnial Into. Sutei
6 le»el Z Ne« physical
Dlagraa nan: 02
Last He*. 07-12-87
DIAGRAM #5
-------
EE 6
nitHiWw
9? -02
PRODUCE
VALIDATION
REPORT
"62.03
EXAMINE DATA FOB REPORTING FPHnqc; N
Eitwnal
liplauntor
Data
Validation
deport j
Validation
Report
IMTEMUL CONSHTE
validation
Raport
^ >
K03 01 "
COMPARE
REPORT
KITH
EXTERNAL
DATA
KCY CHECKS
rw.ojroin
EXAMINE
REPORT FOR
INTERNAL
CONSISTENCY
02.03.03
EXAMINE
REPORT FOR
INTRASTATE
CONSISTENCY
Validation Errore
Iroa
Eitarnal Checka
^
.04.04
DETERMINE VllJditJ
Validation
Errora FPOB
Intarnal Cnacka
:ORRECTIONS
r
Validation Errori
FPOI Intraitato
Chacka
82.91 ,
»» CORRECT
Pn> , REPORTING
' ERRORS
Dliarii #7
Protect ID: BRSYSTEN
Date: 09-30-86 j
Project mat: Annual/Biennial Info. Sutai
Version 6
Lewel 3
Olagrt* naaa: 02.03
Ne« physical ]
Lait Re*. 07-12-87
DIAGRAM #6
-------
EIANINE
DATA FOR
flEPORriNS
ERRORS
Validation
Corractlont
Unvalldat
Pita
|002/l|UHVALIOATED OAT* STORA6E
CORRECT REPORTING ERRORS
Villdatton
Cornet Ions
MM
OETERNINE
IF
REPORTINB
CHANGES ARE
REOUIREO
)(ti Riqulrtng
Validation
Correctlona
Validation
Corracuo
Data
Data Nat Ragulrlno
Validation Corractlon
Validated
Data
Prolact Ift BRSYSTEN
Data: 07-15-67
Prolact mar Annual/Blannlal Info. Siitoi
Variton 6 Laval 3 « phftlcal
naaa: 02 04
Laat
06-24-B7
DIAGRAM #7
-------
J31
untor
BASE
STORE RETRIEVE S TRANSMIT DATA
Pit!
lOMOtOP
IipltMntor
Pitt
TriniiitUd
Pit
Iiplmntcp Hiport
Iipliuntor
Oiti
Iiplmntor
DOM in 0»tt
EE 4
II
Projiet ID: BRSYSTEN
Oito: 07-19-87
Protect BUI: Annuil/BtmnUl Info. Syitoo
torsion 6 Lfvtl 2 MM phfiicil
»: 03
Lilt R*«. 06-26-87
DIAGRAM #8
-------
IE 7
ffi
AUDIT OVERSIGHT DATA
E*tarnal 0»ifiiaht Oata
1005/l|umU01TEO Dm STOtUSE
Unaudited
Data
"68.08 1
PRODUCE
won
EICEPTION
REPORT
Audit
Eieiptton
Raport
Uniudltcd
Pitt
Audit
rwtloni
iudlt«d
Otti
Proltct 10: BRSYSTEN
Oati: 07-15-87
o)act naaa: Annual/aiannlal Info. S|it«i
IVeraton 6 Laval 2 Na« physical
:01a«rta nan: 05
Last (lav. 07-11-97
DIAGRAM #9
-------
EE 7
PRODUCE
AUDIT
EXCEPTION
REPORT
SUI
PERFORM CONSISTENCY CHECK S AUDITS
_E«tornaLO?t£tlS!?tJoto_
Audit
Exception
"«""*
Audit
Exception
Report
COMPARE
AUDIT
KITH
EXTERNAL
DATA
Audit Errors
Fru
Eitdrnil Chocks
EToT7oT"
INTERNAL CONSISTENCY CHECKS
EXAMINE
REPORT FOR
INTERNAL
AUDIT
:ONSISTENCT
Audit Errors
Froa
Inter nil Chtcki
DETERMINE
._ AUOITIN8
^CORRECTIONS
Audit
Corrsc
Audit Errore
Froo Interststo
Chocks
lono
APPLY
AUDIT
OUN6E
llflfM III
07-JS-B7
.. __
!ProtBCt n»or Annuol/Btonniol Into. Sfttto
L«»ol 3
05.03
nrorolon6
_
[otigras naoe:
Htm physics!
List Rs». 07-11-87
DIAGRAM #10
-------
D5.04
PERFORM
BNSISTENCII
CHECK
AUDITS
^
71
d
uneudl
tola
[005/1{UNAUDITED DATA 5TORA6E
APPLY AUDIT CHANGE
Audit
Correction*
Audit
Correct lone
ed
Oats Requiring
Audit Cornctlont
Audit
Corrected
Dite
0«ta Net Requiring
Audit Correct looi
Audited
Otto
Protect ID: BRSVSTEN
Date:
Prelect met: Annuol/Blennlel Info.
We ion 6 Level 3
OU«r»e MM: OS. 04
He* phyilct
LMt Re«.
07-I5-B7
SlOtM
I
06-Z3-B7
DIAGRAM 111
-------
Oviralght
Pitt
ted
oat
06
+JP2{OVERSIGHT DATABASE
STORE
Ud
ifi RETRIEVE OVERSIGHT DATA
Ovirtlght
0»tP«ial>t
Dvirilght
Pit!
Ovirilgnt
OoHln
Pit!
rti
EE 3
Pra)Mt I0t UnSTEM
ntr 07-IB-i7
Pro) act MM: iraual/Bltnaial Inft. Systci
tartlan Uv«l 2 NM pJirsicil
BUgrti MM: 08
Last M«. m-tt-n
DIAGRAM #12
-------
EXTERNAL ENTITY DESCRIPTIONS
-------
-111! < I
-ii r« '
Hill I I ' )«-ucr t 1 r-ii.
Mi rtl It- It'll 11.--,
1...
-EXItrXNfil. ENTITY DCSCRII I JON- -
EXTERNAL ENTITY ID : EE 1
NAME : RESPONDENT
(HANDLER)
LAST UPDATED : 07-11-87
The aggregate of the entities completing the
Annual/Etienni a 1 Report collection form. In general, these
are the generators and regulated handlers of hazardous
waste. States may specify additional criteria for
requiring a response to the local collection effort
PRIMARY / PHONE
« NO REPRESENTATIVE
NO PHONE NUMBER **
AL1EFNATF / PHONE -
» NO ALTEPUA1F. **«
«M NO PHONE NUMBER «
-EXTERNAL ENTITY DESCRIPTION--
EXTERNAL ENTITY ID : EE 2
NAME
LAST UPDATED :
IHPLEMENTOR
USE OF
REPORTS
&/2&/B7
This is an aggregate entity representing all uses of and
uses of implement.or reports. This includes:
- reports to legislatures and local governments.
- responses to public information requests.
- support for program management activities.
- use and distribution o( state summary reports.
- analysis of in-state waste management ^/sterns.
PRIMARY / PHONF
NO REPRESENTATIVE »
«« NO FHONE NUMBER ««
ALTERNATE / fHONL---
»« NO ALTEP-NA1I «
*** NO FHONE NUI1&CR
-EXTERNAL ENTITY DESCRIPTION-
EXTERNAL ENTITY ID : EE 3
NAME : OVERSIGHT
USES OF
DATA
LAST UPDATED :
6/26/B7
This is an aggregate entity representing all uses of ami
uses of oversight reports. This includes:
- reports to Congress including the national sun.mdry.
- responses to public information requests..
- support for program management activities.
- analysis of inter-state waste management system.
»*« CONTINUED **
-------
rrol NALYST
: i.
I/hi' \ Report '.y =1.1 MI
FXIE1RNAL L.,.11Y ATTRI bUl f.S
. : li if. -.-UP
//ID 8
i.i
li:<
^1==. = =. = = ^ = = = =S= = f = _ i = = = = £.- _ X = i = = = ^.^ i ^ = _^.^ .= _ _ ^=_
« CQNl1NUED
EXTERNAL ENTITY ID : EE 3
PRIMARY / PHONE ALTERNATE / FHONE
*** NO REPRESENTATIVE NO ALTERNATE
** NO PHONE NUMBER » NO PHONE NUMBER
EXTERNAL ENTITY ID : EE 4
NAME : RCRIS
IMPLEMENTOR
DOMAIN
LAST UPDATED :
6/26/87
-EXTERNAL ENTITY DESCR1PTIOH-
This entity is the RCRIS data system at the implementor
domain. All data requested by implementors (in RCRIS) Mill
be transferred at this point.
PRIMARY / PHONE
* NO REPRESENTATIVE
NO PHONE NUMBER
ALTERNATE / PHONE
* NO ALTERNATE
NO PHONE NUMBER
EXTERNAL ENTITY ID : EE 5
NAME : RCRIS
OVERSIGHT
DOMAIN
LAST UPDATED : 6/26/87
-EXTERNAL ENTITY DESCRIPT10N-
This entity represents the RCRIS data system at the
oversight domain. All data requested by oversight
personnel will be transferred at this point.
PRIMARY / PHONE
*« NO REPRESENTATIVE «»
NO PHONE NUMBER
ALTERNATE / FHONF-
NO ALTERNATE
NO PHONE NUMBER
EXTERNAL ENTITY ID : EE &
NAME : EXTERNAL
IMPLEMENTOR
DATA
SOURCES
LAST UPDATED :
7/12/37
-EXTERNAL ENTITY DESCR1HTION-
Thpse are sources o( data external to the annual/hiennial
reporting process which are used to verify and validate the
data which has been reported.
PRIMARY / PHONE
NO REPRESENTATIVE
NO PHONE NUMBER
ALTERNATE / FHONt
NO ALTERNATE *
NO PHQNC NUMBER **
-------
"
, 6
EXTERNAL ENTITY ATTRIBUTES
= CSSSSBS = ^S;CB = BSS -- -- -- --- __ __ __ __ __
--- ---- ---- ~ ----------- -- == = = = = == = = = = = = = = = = = = = = = = = = = = = = = = = = = = = =.= = = = = = = = .= == = = _ j i = == = = = =s; = = =.=. = = = = = = =
---------------- EXTERNAL ENTITV DESCRIPTION
EXTERNAL ENTITY ID : EE 7 These are sources o« data available at the oversight level
Mhich are external to the annual /biennial reporting
NAME : EXTERNAL process. They are used to insure reported data is
OVERSIGHT consistent with the "real world".
DATA
SOURCES
. .__ 11DMTcn ----- PRIMARY / PHONE ----- ---- ALTERNATE / PHONE ----
LAST UPDATED s 7/12/B7 * NO REPRESENTATIVE » NO ALTERNATE
« NO PHONE NUMBER NO PHONE NUMBER
- -
TOTAL NUMBER OF EXTERNAL ENTITIES ON PROJECT DICTIONARY VERSION 6 s 7
TOTAL NUMBER OF EXTERNAL ENTITIES ON REPORT: 7
-------
DATA STORE DESCRIPTIONS
-------
Prc
ID:
YSf
/STEM VERSION: 6
Annual/Hi
I Report System
ANAKL'O?
O^/lB/b
UiL
DATA Slu..^ ATTRIBUTES
DO1/1
-DATA STORE ID & NAME
UNEDITED DATA STORAGE
-DATA STORE DESCRIPTION-
LAST UPDATEi 07/17/87
KEY
SEQ
EXT
INDEX
TOTAL ITEMS IN DATA STORE:
This is the respository for all data accepted by the data
entry process. It has been subjected to no editing or
validation procedures. As data passes the Key entry
editing process, it is removed from this data base store.
NORMALIZED: NO
CONTAINS
\DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
NFQRM 1C - IDENT & CERT
\FQRM FS - FORM SELECTION '
C \FORM RS - REGULATORY STATUS 1
[ \FORM WD - WASTE DESCRIPTION ]
\FORM SUBPACKAGE - TSD
C \FORM 01 - OFFSITE IDENT. ]
C \FORM RO - REC. FROM OFFSITE D
C \FORM PS - PROCESS SUMMARY 3
\FOWI SUBPACKAGE - GENERATOR
\FORM PG - PRIMARY GENERATION
C \FORM UN - WASTE MINIMIZATION ]
[ \FORM SO - SHIPPED OFFSITE 3
ALTERNATE\ MA XIMUM
DISCRIMINANT TYPE SIZE ITERATION DECIMALS
12
TOTAL DATA STORE SIZE:
12
D02/I
-DATA STORE ID S. NAME
INVALIDATED DATA STORAGE
-DATA STORE DESCRIPTION-
This is data has passed the key-entry editing processes and
is accumulated until data validation (a batch process) is
performed. As data passes the validation processes, it is
removed from this data store.
LAST UPDATE: O7/17/B7
NORMALIZED: NO
KEY EXT CONTAINS
SEQ INDEX SCATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
\FORM 1C - I DENT & CERT
\FORM FS - FORM SELECTION
C \FORM RS - REGULATORY STATUS
AL TERNATE\ MAXIMUM
DISCRIMINANT TYPE SIZE ITERATION DECIMALS
12
*** CONTINUED **
-------
fro1
ID
STEM VERSION: 6
Annual/En
DAI A S
I Report System
ATTRIBUTES
H7/1I3/1
IV:7':71
DATA STORE ID t, NAME-
*** CONTINUED *
D02/1
UNVALIDATED DATA STORAGE
KEY
SEQ
EXT
INDEX
TOTAL ITEMS IN DATA STOREI
CONTAINS
\DATA STRUCTURES, ELEMENTS
C \FQRM UD - WASTE DESCRIPTION 1
\FORM SUBPACKAGE - TSD
[ \FORM OI - OFFSITE IDENT. 1
[ \FORM RO - REC. FROM OFFSITE 1
C \FORM PS - PROCESS SUMMARY 1
\FORM SUBFACKAGE - GENERATOR
\FORM PG - PRIMARY GENERATION
C \FORM UM - WASTE MINIMIZATION :
C \FORM SO - SHIPPED OFFSITE 1
15
ALTERNATES
DISCRIMINANT
TYPE
SIZE
MAXIMUM
ITERATION
DECIMALS
TOTAL DATA STORE SIZE:
12
12
DOS/1
-DATA STORE ID S. NAME
UNAUDITED DATA STORAGE
-DATA STORE DESCKIPT10N-
This data has been received front the implementor domain.
At this point the data has been certified as valid by the
implementors creating it. Data is stored at this point
until data auditing (a batch process) is performed. When
data passes the auditing processes, it is removed from this
data store.
LAST UPDATE: O7/17/B7
NORMALIZED: NO
KEY EXT CONTAINS
SEQ INDEX \DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
\FORM 1C - IDENT & CERT
\FORM FS - FORM SELECTION
\FORM RS - REGULATORY STATUS 1
\FORM WD - WASTE DESCRIPTION 1
\FORM SUBPACKAGE - TSD
\FORM 01 - OFFSITE IDENT. 1
\FORM RO - REC. FROM OFFSITE 3
\FORM PS - PROCESS SUMMARY 1
\FORM SUBPACKAGE - GENERATOR
\FORM P6 - PRIMARY GENERATION
C \FORI1 WM - WASTE MINIMIZATION 3
ALTERNATES MAXIMUM
DISCRIMINANT TYPE SIZE ITERATION DECIMAL?
12
* CONTINUED *
-------
Fr *ANAI.YS1
II .YS1EM VERSION: 6
------------- DATA STQRE
** CONTINUED *«
Annual/T al Report System
DATA i. .t ATTRIBUTES
~AGE:
07/ia/
NAME
DOS/1
UNAUDITED DATA STORAGE
KEY EXT CONTAINS
SEQ INDEX \DATA STRUCTURES, ELEMENTS
ALTERNATES
DISCRIMINANT
TYPE
TOTAL ITEMS IN DATA STORE:
I NFORM SO - SHIPPED OFFS1TE 3
IS
TOTAL DATA STORE SIZE:
MAXIMUM
SIZE ITERATION DECIMALS
12 12
Dl
-DATA STORE ID I. NAME
IMPLEMENTQR DATA BASE
-DATA STORE DESCRIPTION-
LAST UPDATE: O7/17/B7
KEY
SEQ
EXT
INDEX
TOTAL ITEMS IN DATA STORE:
This data base stores all accepted and validated data at
the implementor level. Typically one data base Mill exist
far each state. A state may be responsible its own data
base or have it created managed by the Region.
NORMALIZED: NO
CONTAINS
\DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
\FORM 1C - IDENT & CERT
\FORM FS - FORM SELECTION
C \FORM RS - REGULATORY STATUS 1
[ \FORM WD - WASTE DESCRIPTION 1
NFORM SUBPACKAGE - TSD
C NFORM 01 - QFFSITE I DENT. ]
C NFORM RQ - REC. FROM QFFSITE 1
C NFORM PS - PROCESS SUMMARY ]
\FORM SUBPACKAGE - GENERATOR
NFORM PG - PRIMARY GENERATION
C NFORM MM - WASTE MINIMIZATION D
C NFORM SO - SHIPPED OFFSITE ]
ALTERNATEN MAXIMUM
DISCRIMINANT TYPE SIZE ITERATION DECIMALS
12
TOTAL DATA STORE SIZE:
12
12
D2
-DATA STORE ID & NAME
OVERSIGHT DATA BASE
-DATA STQRE DESCRIPTION-
This data base stares all data received from the
implementor domain. The data stored here has been
»** CONTINUED **
-------
P- ^"ANALYST
I SYSTEM VERSION: b
Annual/'
Report Svsteir
DATA - ^«E ATTRIBUTES
ANAK2'
07/1B
f rtGK
STQRE ID g, NflME-
** CONTINUED »
-DATA STORE DESCRIPTION-
D2
OVERSIGHT DATA BASE
LAST UPDATE: O&/26/B7
KEY
SEQ
EXT
INDEX
TOTAL ITEMS IN DATA STORE:
subjected to a level of auditing beyond the QA activities
performed on implementor data. This assures the
suitability of this data for nationwide summary and
analyses and validity in producing intrastate waste
management system reports.
NORMALIZED: NO
CONTAINS
\DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
SFORM 1C - I DENT S. CERT
\FORM FS - FORM SELECTION
C \FORM RS - REGULATORY STATUS 1
[ \FORM UD - WASTE DESCRIPTION 1
\FORM SUBPACKAGE - TSD
I \FQRM 01 - OFFSITE IDENT. 1
C \FORM RO - REC. FROM QFFSITE 1
I \FORM PS - PROCESS SUMMARY ]
\FORM SUBPACKAGE - GENERATOR
\FORM PG - PRIMARY GENERATION
C \FORM MM - WASTE MINIMIZATION 1
[ \FORM SO - SHIPPED OFFSITE 3
IS
ALTERNATE\ MAXIMUM
DISCRIMINANT TYPE SIZE ITERATION DECIMALS
12
TOTAL DATA STORE SIZE:
12
12
TOTAL NUMBER OF DATA STORES ON PROJECT DICTIONARY VERSION 6 : 5
TOTAL NUMBER OF DATA STORES ON REPORT: 5
-------
f-r 'ANALYST
ID YSTEM VLRS1UN:
Annual/br il Keport System
DATA STRi.. .IRE ATTRIBUTES
" rti.L'
D7/1G
DATA STRUCTURE NAME-
REPORT FORM PACKAGE
-DATA STRUCTURE DESCRIPTION-
TOTAL ITENS IN DATA STRUCTURE!
This is the data structure defined by a collection of forms
completed and submitted by a Haste generator or handler.
This is the primary source of information for this system.
Not all handlers Mill be required to complete all parts of
the form. This determination is made by instructions
associated with certain answers to questions on the form.
In addition, the modular nature of the form allows
implementors (states) to collect additional information by
inserting additional forms into the collection package and
providing additional questions and/or instructions to aid
handlers in completing the forms.
CONTAINS
\DATA STRUCTURES, ELEMENTS
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
\FORM 1C - IDENT fc CERT
. \FORM FS - FORM SELECTION
C \FORM RS - REGULATORY STATUS 1
C \FQRM WD - WASTE DESCRIPTION 1
C \FQRM SUBPACKAGE - TSD ]
t \FORM 01 - OFFSITE IDENT. 1
C \FORM RO - REC. FROM QFFSITE 1
[ \FORM PS - PROCESS SUMMARY 1
[ \FORM SUBPACKAGE - GENERATOR 1
\FORM PG - PRIMARY GENERATION
C \FORM MM - WASTE MINIMIZATION ]
C \FORM SO - SHIPPED OFFSITE 1
14
IS CONTAINED IN THESE:
DATA STORES
ID NAME
D01/1
DATA FLOWS
UNEDITED DATA STORA ANNUAL/BIENNIAL REPORT FORM
EDITED DATA
UNEDITED DATA
ALTERNATE\
DISCRIMINANT
TYPE
C
SIZE
12
MAXIMUM
ITERATION
DECIMALS
TOTAL DATA STRUCTURE SIZE:
12
12
-SOURCE DESTINATION
-DATA STRUCTURES-
EE 1
EE 1
EE 1
EE 1
01.04.03
Ol
01. O4
01
01.01
D01/1
001/I
D01/1
01.03.01
01
O1.O1
01. OZ
O2
O2
O2
02.01
D01/1
O1.O4.O1
O1.O2
O1.O4
NOT IN ANY DATA STRUCTURE *
** CONTINUED *
-------
l-ri
ID.
VERSION: 6
Auriiidl/bi il Report System
DATA SIKL... .JRE ATTRIBUTES
DATA STRUCTURE NAME-
** CONTINUED «*
REPORT FORM PACKAGE
IS CONTAINED IN THESE:
DATA STORES
ID fNAME DATA FLOWS SOURCE DESTINATION DATA STRUCTURES D/ I
TURNAROUND DOCUMENT 01.02 O1.O3.OI
01.02 01.03
KEY-ENTRY CORRECTED DATA 01.O4.O2 01.04.03
TOTAL NUMBER OF DATA STRUCTURES ON PROJECT DICTIONARY VERSION 6 :
TOTAL NUMBER OF DATA STRUCTURES ON REPORT:
16
1
-------
Fr
II
»ANALYST
iYSTEM VERSION: 6
Annual /(' al Report System
DAI A i. wTURE CONTENTS
ANAK2L
07/IB/
ftliL
DATA STRUCTURE NAME-
REPORT FORM PACKAGE
TOTAL ITEMS IN DATA STRUCTURE:
CONTAINS
\DATA STRUCTURES, ELEMENTS
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
\FORM 1C - IDENT & CERT
\FORM FS - FORM SELECTION
[ \FORM RS - REGULATORY STATUS 1
I \FORM WD - WASTE DESCRIPTION 1
[ \FORM SUBPACKAGE - TSD D
C \FORM 01 - QFFSITE IDENT. 1
E \FORM RQ - REC. FROM QFFSITE 1
C \FQRM PS - PROCESS SUMMARY 1
[ \FQRM SUBPACKAGE - GENERATOR 1
\FORM PG - PRIMARY GENERATION
C \FORM MM - WASTE MINIMIZATION ]
C \FORM SO - SHIPPED OFFSITE 1
14
ALTERNATE\
DISCRIMINANT TYPE
MAXIMUM
SIZE ITERATION DECIMALS
12
TOTAL DATA STRUCTURE SIZE:
12
12
TOTAL NUMBER OF DATA STRUCTURES ON PROJECT DICTIONARY VERSION 6 : 16
TOTAL NUMBER OF DATA STRUCTURES ON REPORT: 1
-------
DATA FLOW DESCRIPTIONS
-------
PrOKi t"ANALYST
ID: BRSYSTEM SIGN: 6
DATA FLOW NAME-
ANNUAL /BIENNIAL REPORT FORM
LAST UPDATED] O7-12-B7
Annual/Biennial Repr h System
DATA FLOW ATTR 18
ANAR2OD3, PAGE
07/20/87, 21:OQ
-DATA FLOW DESCRIPTION-
RepresentE information collected on the EPA Annual/Biennial
Report -form.
DATA FLOW TYPEi NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM SUBPACKAGE - ALL
\FORM 1C - IDENT & CERT
\FORM FS - FORM SELECTION
\FORM RS - REGULATORY STATUS 1
\FORM WO - WASTE DESCRIPTION 1
\FQRM SUBPACKAGE - TSD 3
\FORM QI - OFFSITE IDENT. 1
\FORM RO - REC. FROM OFFSITE 3
\FORM PS - PROCESS SUMMARY 1
C \FORM SUBPACKAGE - GENERATOR 3
\FORM PG - PRIMARY GENERATION
I \FORM MM - WASTE MINIMIZATION 3
C \FORM SO - SHIPPED OFFSITE 3
ALTERNATEX
DISCRIMINANT
TYPE
SIZE
12
MAXIMUM
ITERATION
DECIMALS
TOTAL ITEMS IN DATA FLOW:
TOTAL DATA FLOW SIZE:
12
12
SOURCE DESTINATION
EE 1 01.O3.01
EE 1 01
EE 1 O1.O1
EE I 01. O3
KEY 1
«»* NO KEYS
*»* NO
*»* NO
**« NO
KEYS
KEYS
KEYS
DATA FLOW OCCURRENCES INFORMATION
ON DATA
ON
ON
ON
DATA
DATA
DATA
FLOW ***
FLOW «*
FLOW «*«
FLOW «**
DATA FLOW NAME-
AUDIT CORRECTED DATA
LAST UPDATED: O7-18-87
«* CONTINUED ««*
DATA FLOW DESCRIPTION
The portion of the Validated data to which audit
corrections have been applied.
DATA FLOW TYPE: NORMAL
-------
:>roKit*ANALYSt
IDi BRSYSTEM JON: 6
Annual/Biennial Reppr System
DATA FLOW ATTRII i
DftTA
»** CONTINUED »»
-UJD1T CORRECTED DATA
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATE\
DISCRIMINANT
TYPE
NOT DETERMINED
TOTAL ITEMS IN DATA FLOW: 1 TOTAL DATA FLOW SIZE:
DATA FLOW OCCURRENCES INFORMATION :
SOURCE DESTINATION KEY 1 <\DX OR DE) KEY 2 (\DX OR DE)
05.O4.02 05.04.03 «** NO KEYS ON DATA FLOW »«
*-»**
0*
ANAR2003, PAGE
O7/2O/B7, ZllOOl
MAXIMUM
SIZE ITERATION DECIMALS
O*
KEY 3 <\DX OR DE)
DATA FLOW NAME
1UDIT CORRECTIONS
-AST UPDATED: O7-12-87
-DATA FLOW DESCRIPTION-
TOTAL ITEMS IN DATA FLOW:
The corrections that have been determined to be necessary
by the comparison process.
DATA FLOW TYPE: NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATE\
DISCRIMINANT
EPA IDENTIFIER
XCHANGE DESCRIPTION
EPA IDENTIFIER
TYPE
C
C
TOTAL DATA FLOW SIZE:
-DATA FLOW OCCURRENCES INFORMATION
SIZE
12
12
24
MAXIMUM
ITERATION
24
DECIMALS
SOURCE
05.O3.O4
05.03
OS. 03
05.03
DESTINATION KEY 1 (\DX OR DE)
05.04 ** NO KEYS ON DATA FLOW ***
OS.04 *«» NO KEYS ON DATA FLOW *«*
05.O4.01 *** NO KEYS ON DATA FLOW *«»
05.04.O2 **» NO KEYS ON DATA FLOW »**
-KEY 2 (\DX OR DE)-
KEY 3 (\DX OR DE)-
-------
«Rr >c,nw *. Annual/Biennial P ». System ANAR2OD3, PAGE
BRSYBTf KIONi 6 O7/20/B7. 21I
DATA FLOW AT. ,ES
DATA FLOW NAHE DATA FLOM DESCRIPTION
AUDIT ERRORS FROM EXTERNAL CHECKS Error* which have been detected by coaparison at data bame
contente with external sources of data available at the
oversight level,
LAST UPDATED! 07-12-87 DATA FLOW TYPEl EXCEPTION
CONTAINS ALTERNATES MAXIMUM
\DATA STRUCTURES, ELEMENTS DISCRIMINANT TYPE SIZE ITERATION DECIMALS
EPA IDENTIFIER C 12
\ERROR DESCRIPTION
EPA IDENTIFIER C 12
TOTAL ITEMS IN DATA FLOWl 3 TOTAL DATA FLOW SIZEi 24 24
DATft FLOW QCCURRENCES INFORMATION
SOURCE DESTINATION KEY 1 I\DX OR DEI KEY 2 (\DX OR DE) KEY 3 C\DX OR DE)
OS.03.O1 03.O3.04 NO KEYS ON DATA FLOW ***
-DATA FLOW NAHE DATA FLOW DESCRIPTION-
AUDIT ERRORS FROM INTERNAL CHECKS Thesa are errors detected through data examination and by
consistency checks.
LAST UPDATEDi O7-12-B7 DATA FLOW TYPEl EXCEPTION
CONTAINS ALTERNATES MAXIMUM
\DATA STRUCTURES, ELEMENTS DISCRIMINANT TYPE SIZE ITERATION DECIMALS
EPA IDENTIFIER C 12
\ERROR DESCRIPTION '
EPA IDENTIFIER C 12
TOTAL ITEMS IN DATA FLOW: 3 TOTAL DATA FLOW SIZE, 24 24
DATA FLOW OCCURRENCES INFORMATION
SOURCE DESTINATION KEY 1 (\DX OR DE) KEY 2 C\DX OR DE) KEY 3 (\DX OR DE)
OS.03.O2 OS.O3.04 * NO KEYS ON DATA FLOW ***
-------
ProKitANALYST
IDi BRSYSTF tSIQNi 6
Annual/Biennial Rennrt System
DATA FLOW AT'. ES
ANAR2QD3, PAGE
07/20/87, 21:
DATA FLOW NAME
AUDIT ERRORS FROM INTERSTATE CHECKS
DATA FLOW DESCRIPTION
Audit errors dactected by comparison of information between
states.
LAST UPDATED: O7-12-87
DATA FLOW TYPEl EXCEPTION
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATEX
DISCRIMINANT
EPA IDENTIFIER
\ERROR DESCRIPTION
EPA IDENTIFIER
TOTAL ITEMS IN DATA FLOUl
SOURCE
OS.03.O3
DESTINATION
OS.O3.04
TYPE
C
c
3 TOTAL DATA FLOW SIZEl
DATA FLOW OCCURRENCES INFORMATION
KEY 1 <\DX OR DE) KEY 2 (\DX OR DE)
NO KEYS ON DATA FLOW
SIZE
12
12
24
MAXIMUM
ITERATION DECIMALS
24
-KEY 3 (\DX OR DE)
DATA FLOW NAME-
AUDIT EXCEPTION REPORT
LAST UPDATED: 07-12-87
-DATA FLOW DESCRIPTION-
TOTAL ITEMS IN DATA FLOMi
SOURCE
05.02
05.02
OS. 02
DESTINATION
05.03
O5.O3.O1
O5.O3.O3
A report used aa a source document for the performance of
both internal and external audit checks. Automated
consistency check results appear in this listing.
DATA FLOW TYPE: NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
EPA IDENTIFIER
1
DATA FLOW OCCURRENCES INFORMATION
KEY 1 (\DX OR DE) KEY 2 (\DX OR DE)
NO KEYS ON DATA FLOW *«
NO KEYS ON DATA FLOW *
NO KEYS ON DATA FLOW ***
ALTERNATEX MAX IMUM
DISCRIMINANT TYPE SIZE ITERATION DECIMALS
C 12
QTAL DATA FLOW SIZE: 12
12
KEY 3 <\DX OR DE)
« CONTINUED ***
-------
ProKit»ANALYSt
ID: BRSYSTEM 3IONs 6
i
------------ DftTA
*** CONTINUED ***
AUDIT EXCEPTION REPORT
Annual/Biennial Record System
DATA FLOW ATTR :S
DATA FLQW OCCURRENCES INFORMATION
SOURCE DESTINATION KEY 1 <\DX OR DE) KEY 2 <\DX OR DE)
03.02 05.03.02 *** NO KEYS ON DATA FLOW *«*
ANAR20D3, PAGE
O7/20/87, 2liOC
KEY 3 (\DX OR DE>
DATA FLOW NATE
AUDITED DATA
LAST UPDATED: O7-18-87
DATA FLOW DESCRIPTION-
Data which hae completed the auditing process and is ready
for storage in the oversight data base.
TOTAL ITEMS IN DATA FLOW:
DATA FLOW TYPE: NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
NOT DETERMINED
1
ALTERNATEN.
DISCRIMINANT
TYPE
TOTAL DATA FLOW SIZE:
SIZE
»***
0*
MAXIMUM
ITERATION
0»
DECIMALS
-DATA FLOW OCCURRENCES INFORMATION
SOURCE DESTINATION KEY 1 (\DX OR DE)
OS O6 »** NO KEYS ON DATA FLOW ***
05 06.01 *« NO KEYS ON DATA FLOW «*«
O5.04 O6 »*» NO KEYS ON DATA FLOW «»
OS.04.O3 06 *»* NO KEYS ON DATA FLOW «**
-KEY 2 (\DX OR DE)
-KEY 3
==::==:== ss===s==
-DATA FLOW DESCRIPTION-
DATA NOT REQUIRING AUDIT CORRECTIONS
LAST UPDATED: 07-1B-B7 DATA FLOW TYPE: NORMAL
»* CONTINUED *»
The portion of the validated data stream not requiring
changes.
-------
ProKit"ANALYST
10: BRSYSTEM >IONi 6
Annual/Biennial Rep-* System
DATA FLOW ATTR1 S
DATA FLOW NAME-
CONTINUED »*»
DATA NOT REQUIRING AUDIT CORRECTIONS
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATEX
DISCRIMINANT
TOTAL ITEMS IN DATA FLOWi
SOURCE
OS.04.01
TYPE
NOT DETERMINED
1 TOTAL DATA FLOW SIZEi
DATA FLOW OCCURRENCES INFORMATION
DESTINATION KEY 1 (XDX OR DE> KEY 2 (\DX OR DE)
05.04.03 ** NO KEYS ON DATA FLOW ***
***«
0*
ANAR20D3, PAGE
O7/20/B7, 21:OO
MAXIMUM
SIZE ITERATION DECIMALS
O*
KEY 3 <\DX OR DE)
DATA FLOW
DATA NOT REQUIRING KEY-ENTRY CORRECTIONS
-DATA FLOW DESCRIPTION-
The portion of the unedited data stream not requiring
changes.
LAST UPDATED: 07-18-87
DATA FLOW TYPE: NORMAL
CONTAINS
SDATA STRUCTURES, ELEMENTS
ALTERNATEX
DISCRIMINANT
TOTAL ITEMS IN DATA FLOWi
SOURCE
O1.O4.O1
DESTINATION
O1.O4.03
TYPE SIZE
NOT DETERMINED **»«
1 " TOTAL DATA FLOW SIZE: 0*
DATA FLOW OCCURRENCES INFORMATION
KEY 1 (XDX OR DE) KEY 2 (XDX OR DE)
»» NO KEYS ON DATA FLOW ***
MAXIMUM
ITERATION DECIMALS
O*
KEY Z (XDX OR DE)
DATA FLOW NAME
DATA NOT REQUIRING VALIDATION CORRECTION
-DATA FLOW DESCRIPTION-
The portion of the edited data stream not requiring
corrections.
LAST UPDATED: O7-IB-B7
**» CONTINUED ***
DATA FLOW TYPE: NORMAL
-------
ProKit«ANAL*'
IDi BRSYSTT
>IONi 6
Annual /Biennial Rr
DATA FLOW ATT.
System
ANAR2OD3. PAGE
O7/20/B7, 211 (
DATA FLOW NAME
CONTINUED
DATA NOT REQUIR1NQ VALIDATION CORRECTION
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATEX
DISCRIMINANT
TOTAL ITEMS IN DATA FLOW:
SOURCE-
O2.04.O1
TYPE
NOT DETERMINED
1 TOTAL DATA FLOW SIZE:
DATA FLOW OCCURRENCES INFORMATION
DESTINATION KEY 1 (\DX OR DE) KEY 2 (\DX OR DE)
O2.O4.03 » NO KEYS ON DATA FLOW *
MAXIMUM
SIZE ITERATION DECIMALS
***«
0*
o»
KEY 3 (\DX OR DE)
DATA FLOW NAME
DATA REQUIRING. AUDIT CORRECTIONS
LAST UPDATED: O7-18-87
TOTAL ITEMS IN DATA FLOW:
DATA FLOW DESCRIPTION
The portion of the validated data stream which requires
corrections. These errors were detected by the audit
process.
DATA FLOW TYPEI NORMAL
CONTAINS
NDATA STRUCTURES, ELEMENTS
NOT DETERMINED
1
ALTERNATE\
DISCRIMINANT TYPE
SOURCE
OS.04.O1
DESTINATION
05.04.02
TOTAL DATA FLOW SIZEI
FLQW OCCURRENCES INFORMATION
KEY 1 (NDX OR DE) KEY 2 <\DX OR DE)
* NO KEYS ON DATA FLOW *
SIZE
0*
MAXIMUM
ITERATION
O»
DECIMALS
KEY 3 (VOX OR DE)
DATA FLOW NAME
DATA REQUIRING KEY-ENTRY CORRECTIONS
DATA FLOW DESCRIPTION-
The protion ol the unedited data stream which requires
corrections. These errors Here detected by comparison of
entered data with the collection forms.
LAST UPDATED: O7-18-87
** CONTINUED **»
DATA FLOW TYPE: NORMAL
-------
ProKit^ANALV" Annual/Biennial Rf -* System ANAR2OD3. PAGE
IDs BRSYSTr >SION: 6 O7/2O/B7, 21:
DATA FLOW AT\ £6
DATA FLOW NAME
« CONTINUED *
DATA REQUIRING KEY-ENTRY CORRECTIONS
CONTAINS ALTERNATE\ MAXIMUM
\DATA STRUCTURES. ELEMENTS DISCRIMINANT TYPE SIZE ITERATION DECIMALS
NOT DETERMINED «
TOTAL ITEMS IN DATA FLOWI I TOTAL DATA FLOW SIZE: 0« 0»
DATA FLQW OCCURRENCES INFORMATION
SOURCE DESTINATION KEY 1 (\DX OR DE) KEY 2 <\DX OR DE) KEY 3 <\DX OR DE>
01.04.O1 01.O4.02 ** NO KEYS ON DATA FLOW *
DATA FLOW NAME DATA FLOW DESCRIPTION
DATA REQUIRING VALIDATION CORRECTIONS The portion of the edited data strean requiring
corrections. These errors Mere detected by the validation
process.
LAST UPDATEDI 07-18-87 DATA FLQW TYPE: NORMAL
CONTAINS ALTERNATE\ MAXIMUM
\DATA STRUCTURES, ELEMENTS DISCRIMINANT TYPE SIZE ITERATION DECIMALS
NOT DETERMINED **
TOTAL ITEMS IN DATA FLOWi 1 TOTAL DATA FLOW SIZE: 0» 0»
DATA FLOW OCCURRENCES INFORMATION
SOURCE DESTINATION KEY 1 <\DX OR DE) KEY 2 (\DX OR DE) KEY 3 <\DX OR DE)
02.04.O1 . 02.O4.02 ** NO KEYS ON DATA FLOW *»
DATA FLOW NAME Da pun, DESCRIPTION
EDITED DATA Data which has passed or been corrected by the editing
process.
LAST UPDATED: O7-12-B7 DATA FLOW TYPE: NORMAL
» CONTINUED ***
-------
PrciKit-ANALYST
IDi BRSYBTEP ISlONi 6
DATA FLOW NAME-
CONTINUED *«
EDITED DATA
TOTAL ITEMS IN DATA FLOW:
SOURCE
01.04.03
Ol
01.04
Ol
DESTINATION
O2
O2
02
02.01
Annual/Biennial Recoct System
DATA FLOW ATTti FES
ANAR2OD3. PASE
07/20/87, 21s'
CONTAINS
\DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM SUBPACKASE - ALL
\FORM 1C - IDENT b CERT
\FORM FS - FORM SELECTION
C \FORM RS - REGULATORY STATUS 1
C \FORM UD - WASTE DESCRIPTION 1
C \FORM SUBPACKAGE - TSD 1
C \FORM Ol - OFFSITE IDENT. 1
C \FORM RO - REC. FROM OFFSITE 1
C \FORM PS - PROCESS SUMMARY 3
C \FORM SUBPACKASE - GENERATOR ]
\FQRM PQ - PRIMARY GENERATION
C \FORM MM - WASTE MINIMIZATION I
C \FORM SO - SHIPPED OFFSITE 1
ALTERNATES
DISCRIMINANT
TYPE
MAXIMUM
SIZE ITERATION DECIMALS
12
15
TOTAL DATA FLOW SIZE:
DATA FLOW OCCURRENCES INFORMATION
12
12
KEY 1 (\DX OR DE)
NO KEYS ON DATA FLOW
NO KEYS ON DATA FLOW *«*
NO KEYS ON DATA FLOW
** NO KEYS ON DATA FLOW *
KEY 2 (\DX OR DE)
-KEY 3 <\DX OR DE>-
DATA FLOW NAME-
EXTERNAL IMPLEMENTOR DATA
LAST UPDATED: O7-18-87
CONTINUED
DATA FLOW DESCRIPTION
Data at the implementor level Mhich is supplied by entities
and/or processes outside the annual/biennial report
collection process.
DATA FLOW TYPE: NORMAL
-------
ProKit«ANALv
IDt BRSYST'
alONt 6
Annual/Biennial Rr « Systc
DATA FLOW ATI £3
ANAR2OD3, PAGE
O7/2O/B7, 211'
DATA FLOW NAME
CONTINUED **
EXTERNAL IMPLEMENTOR DATA
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATEX
DISCRIMINANT
TOTAL ITEMS IN DATA FLOWi
SOURCE
EE 6
EE 6
EE 6
DESTINATION
O2
O2.O3.01
02.03
TYPE
NOT DETERMINED
1 TOTAL DATA FLOW SIZE:
DATA FLOW OCCURRENCES INFORMATION
-KEY 1 (XDX OR DE) KEY 2 (XDX OR DE>
SIZE
***
0*
MAXIMUM
ITERATION DECIMALS
KEY 3 (NDX OR DE)
** NO KEYS ON DATA FLOW
* NO KEYS ON DATA FLOW
* NO KEYS ON DATA FLOW «
>--DATA FLOW NAME
EXTERNAL OVERSIGHT DATA
-DATA FLOW DESCRIPTION
Data at the oversight level nhich is supplied by entities
and/or processes outside the Annual/Biennial Report
collection process.
LAST UPDATED! O7-18-87
DATA FLOW TYPEi NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATEX
DISCRIMINANT
TOTAL ITEMS IN DATA FLOWi
SOURCE
EE 7
EE 7
EE 7
TYPE
NOT DETERMINED
1 TOTAL DATA FLOW SIZEs
Dftja FLOW OCCURRENCES INFORMATION
DESTINATION KEY 1 (XDX OR DE) KEY 2 (XDX OR DE)
OS » NO KEYS ON DATA FLOW *«*
05.03 NO KEYS ON DATA FLOW *
05.O3.01 * NO KEYS ON DATA FLOW *
SIZE
»*»*
0«
MAX IMUM
ITERATION
O*
DECIMALS
KEY 3 (\DX OR DE)
-------
jKlt-ANALYST
BRBYBTEfl »
ON I 6
Annual/Biennial Report Syatea
DATA FLOW ATTRI
DATA FLOW NAME
>LENEMTOR DATA
IT UPDATEDl O7-18-B7
DATA FLOM DE8CRIPTION-
loplemantor dooain annual/biennial report data.
DATA FLOW TYPEl NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATES
DISCRIMINANT
TOTAL ITEMS IN DATA FLOWl
TYPE
NOT DETERMINED
I TOTAL DATA FLOW SlZEi
DATA FLOW OCCURRENCES INFORMATION
SOURCE
01
DESTINATION KEY 1 (\DX OR DE)
Dl NO KEYS ON DATA FLOW
03.04 NO KEYS ON DATA FLOW
O3.O3 NO KEYS ON DATA FLOW «
03.O2 NO KEYS ON DATA FLOW
01 NO KEYS ON DATA FLOW *
KEY 2 <\DX OR DEI
ANAR20D3, PAGE li
O7/2O/B7. 21iOOr'
MAXIMUM
SIZE ITERATION DECIMALS
*«
0*
o*
KEY 3 <\DX OR DE)
DATA FLOW NAHE-
LEMENTOR DOMAIN RCRIB DATA
T UPDATEDI O7/1B/B7
TOTAL ITEMS IN DATA FLOUl
SOURCE DESTINATION
04 EE 4
CONTINUED *
DATA FLO* DESCRIPTION
Data auppliad to the inplenentor donaIn of RCRIB
DATA FLOW TYPEl NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATES
DISCRIMINANT
TYPE
NOT DETERMINED
1 TOTAL DATA FLOW SIZEj
DATA FLOW OCCURRENCES INFORMATION
KEY 1 (\DX OR DE> KEY 2 <\DX OR DE)
NO KEYS ON DATA FLOW *
MAXIMUM
SIZE ITERATION DECIMALS
**
0*
0*
-KEY 3 (\DX OR DE)-
-------
-nKit'ANALYST
>t WSYSTEM
-------
Ml'ANALYST
BRGYBTEH '
INl 6
DATA FLOW NAME-
CQNTINUEO
'-ENTRY CORRECTED DATA
Annual/Biennial Report System
DATA FLOW ATTRI
TOTAL ITEMS IN DATA FLOUi
CONTAINS
\DATA STRUCTURES, ELEMENTS
\FORH 1C - IDENT fc CERT
\FQRH FB - FORM SELECTION
C \FORM RS - REGULATORY STATUS J
C \FQRH UD - WASTE DESCRIPTION 1
C SFORM SUBPACKABE - TSD ]
\FORM 01 - OFFBITE IDENT. 1
\FORH RO - REC. FROM OFF6ITE 1
\FQRH PS - PROCESS SUMMARY 1
\FORH SUBPACKAGE - GENERATOR J
\FORH PG - PRIMARY GENERATION
\FORM MM - WASTE MINIMIZATION 3
\FORH SO - SHIPPED OFFSITE 3
IS
ANAR20D3, PAGE 13
07/20/87. 21lOOf
ALTERNATEX
DISCRIMINANT
TYPE
MAXIMUM
SIZE ITERATION DECIMALS
TOTAL DATA FLOW SIZEl
12
12
SOURCE DESTINATION
04.O2 O1.O4.O3
DATA FLOW OCCURRENCES INFORMATION
KEY 1 <\DX OR DE) KEY 2 (NDX OR DE)
* NO KEYS ON DATA FLOW «*
KEY 3 (\DX OR DE)
-DATA FLOW NAHE-
-ENTRY CORRECTIONS
!T UPDATEDi 07-12-B7
DATA FLOW DESCRIPTION-
TOTAL ITEMS IN DATA FLOWi
SOURCE DESTINATION
03 01.04
CONTINUED
Corrections which have been determined necessary to bring
data base contents into agreement with the report fora.
DATA FLOW TYPEi EXCEPTION
CONTAINS ALTERNATEX
\DATA STRUCTURES, ELEMENTS DISCR
EPA IDENTIFIER *
\CHAN8E DESCRIPTION
EPA IDENTIFIER
DATA FLOW OCCURRENCES INFORMATION
KEY 1 (NDX OR DE) KEY 2 (\DX OR DEJ
* NO KEYS ON DATA FLOW *
E\
NANT TYPE
C
C
A FLOW SIZEl
MAXIMUM
SIZE ITERATION DECIMALS
12
12
24
1
24
KEY 3 l\DX OR DE)
-------
DM FLOW ATTRlo ES
FLOW NM1E-
CONTINUE*.
.Y-ENTRV CORRECTIONS
-SOURCE
.03
.O3.O2
.03
DESTINATION
O1.O4.OI
O1.O4
O1.O4.02
-DATA FLOW OCCURRENCES INFORMATION-
KEY 1 <\DX OR DE)
NO KEYS ON DATA FLOW *
** NO KEYS ON DATA FLOW *
* NO KEYS ON DATA FLOW *
KEY 2 <\DX OR DE)
KEY 3 (\DX OR DE)-
DATA FLOW NAHE-
-DATA FLOW DESCRIPTION
V-ENTRY EXCEPTION REPORT
5T UPDATEDi O7-12-87
TOTAL ITEMS IN DATA FLOUa
This is a MOM of exceptions detected by comparison of data
basa contents Nith the turnaround document.
DATA FLOM TYPEI EXCEPTION
CONTAINS
\DATA STRUCTURES, ELEMENTS
EPA IDENTIFIER
\ERROR DESCRIPTION
EPA IDENTIFIER
ALTERNATES
DISCRIMINANT TYPE SIZE
C 12
C 12
TOTAL DATA FLQU SIZEl 24
MAXIMUM
ITERATION
24
DECIMALS
DATA FLOW OCCURRENCES INFORMATION
--SOURCE DESTINATION KEY 1 (\DX OR DE) KEY 2 (\DX OR DE) KEY 3 (VOX OR DE)
.O3.O1 01.O3.02 ** NO KEYS ON DATA FLOW *
DATA FLOW NAME
-JtBIBHT DATA
,T UPDATED: 07-1B-B7
» CONTINUED
DATA FLOW DESCRIPTION
Oversight domain annual/biennial report data.
DATA FLOW TYPEl NORMAL
-------
aKitANALYST
BRSVBTEH V »ION| 6
Annual/Biannial Report Byttt
DATA FLOW ATTRI
ANAR20D3, PAGE 16
07/20/87, 21,iOO
-DATA FLOW NAHE-
-DATA FLOW DESCRIPTIOM-
ERBI8HT REPORTS
3T UPDATEDI 07-19-87
Report* UMd at the oversight level. Theae are both-
standard and ad hoc report.
DATA FLOW TYPEi NORMAL
CONTAINS
\OATA STRUCTURES, ELEMENTS
ALTERNATEV
DISCRIMINANT
MAXIMUM
ITERATION DECIMALS
TOTAL ITEMS IN DATA FLOUl
-SOURCE
02
DESTINATION
EE 3
EE 3
TYPE SIZE
NOT DETERMINED *
1 TOTAL DATA FLOW SIZEi O« O»
DATA FLOW OCCURRENCES INFORMATION
1 (\DX OR DE) KEY 2 (\DX OR DE> KEY 3 <\DX OR DE>
NO KEYS ON DATA FLOM
NO KEYS ON DATA FLOW
DATA FLOW NAME
:EIVED DATA
IT UPDATED! O7-1B-B7
TOTAL ITEMS IN DATA FLOUl
DATA FLOW DESCRIPTION-
Data received from variou* iaplcmentore.
DATA FLOW TYPEt NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATEX
DISCRIMINANT
SOURCE
DESTINATION
09
O3.01
TYPE
NOT DETERMINED
1 TOTAL DATA FLOW BIZEi
DATA FLOW OCCURRENCES INFORMATION
KEY 1 (\DX OR DE) KEY 2 (\DX OR DE)
* NO KEYS ON DATA FLOW
« NO KEYS ON DATA FLOW
MAXIMUM
SIZE ITERATION DECIMALS
*
0*
o*
KEY 3 C\DX OR DE)-
-------
uM t» ANAL Via r
)| ORSVBTEr
tONl 6
Annual/Biennial Report Bystt
DATA FLOW ATTF S
ANAR2QD3, PA8E 17
O7/20/B7, 21lO'
DATA FLOM NAME
ANSniTTED OVERSIGHT DATA
ST UPDATEDi 07-18-87
-DATA FLOW DESCRIPTION-
TOTAL ITEMS IN DATA FLOMl
Data transmitted fro* the Implementor to the oversight
domain.
DATA FLOW TYPEi NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
NOT DETERMINED
1
ALTERNATES
DISCRIMINANT TYPE
TOTAL DATA FLOW SIZEi
SIZE
*
O*
-SOURCE DESTINATION KEY 1 I\DX OR DE)
04 NO KEYS ON DATA FLOW
.02 04 NO KEYS ON DATA FLOW *
-DATA FLOW OCCURRENCES INFORMATIQN-
KEY 2 (\DX OR DEI
MAXIMUM
ITERATION
O*
DECIMALS
-KEY 3 <\DX OR DE)-
DATA FLOW NAME-
RNAROUND DOCUMENT
ST UPDATEDi O7-12-B7
DATA FLOW DESCRIPTION-
TOTAL ITEMS IN DATA FLQWi
CONTINUED
This is a computer produced report nhlch closely resembles
the input form. The primary purpose oi printing it is to
compare to the original input form.
DATA FLOW TYPEi NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKAGE
EPA IDENTIFIER
\FORM EUBPACKAGE - ALL
\FORM 1C - IDENT & CERT
\FORM FS - FORM SELECTION
C \FORM RS - REGULATORY STATUS 1
C \FORM WD - WASTE DESCRIPTION 3
C \FORM SUBPACKA6E - TSD 1
C \FORH 01 - OFFBITE IDENT. 1
C \FORM RO - REC. FROM QFFSITE 1
C \FORM PS - PROCESS SUMMARY 1
C \FORM SUBPACKAGE - GENERATOR 1
\FORM PG - PRIMARY GENERATION
C \FORM MM - WASTE MINIMIZATION 1
C \FORM SO - SHIPPED OFFSITE ]
15
ALTERNATES
DISCRIMINANT
TYPE SIZE
12
MAXIMUM
ITERATION
DECIMALS
TOTAL DATA FLOW SIZE:
12
12
-------
OK itANALYST
111 BRSYBTF ->SIONl 6
Annual/Biennial Report System
DATA FLOW ATT TEB
ANAR20D3, PAGE IB
07/2O/B7, 21 ir ~4
DATA FLOW NAME-
> CONTINUED **
RNAROUND DOCUMENT
-SOURCE DESTINATION
.02 O1.O3.01
.02 O1.O3
--DATA FLOW OCCURRENCES INFORriATION-
KEY 1 (\DX OR DE)
* NO KEYS ON DATA FLOW
NO KEYS ON DATA FLOW *
-KEY 2 (\DX OR DE)-
KEY 3
-------
ro*. it "ANALYST
Di BREYSTF -RBIONi A
DATA FLOW NAME-
CONTINUED *
^EDITED DATA
TOTAL ITEMS IN DATA FLOW:
Annual/Biennial Report Bysti
DATA FLOW AT TE8
ANAR20D3, PAGF 19
O7/2O/B7, 2' 4
CONTAINS
\DATA STRUCTURES, ELEMENTS
\REPORT FORM PACKA6E
EPA IDENTIFIER
\FORM SUBPACKABE - ALL
\FORM 1C - IDENT fc CERT
\FORn FB - FORM SELECTION
C \FORM R8 - REGULATORY STATUS 1
C \FORM NO - WASTE DESCRIPTION 1
C \FORM 6UBPACKAGE - TSD I
C \FORH 01 - OFFBITE IDENT. 3
C \FORH RO - REC. FROM OFFSITE 1
C \FORH PS - PROCESS SUMMARY 3
C \FORM SUBPACKABE - GENERATOR 3
\FORM PQ - PRIMARY GENERATION
C \FORM MM - WASTE MINIMIZATION 3
C \FQRM BO - SHIPPED OFFSITE 3
ALTERNATEV
DISCRIMINANT
TYPE
C
SIZE
12
MAXIMUM
ITERATION
DECIMALS
IS
-SOURCE
.01
1/1
>1/1
1/1
SB v aa, s sVavfli § s
____ UHIH ri_uw i
DESTINATION KEY 1 (\DX OR DE)
DO1/1 ** NO KEYS ON DATA FLOW *
O1.O4.O1 NO KEYS ON DATA FLOW
O1.O2 * NO KEYS ON DATA FLOW
O1.O4 * NO KEYS ON DATA FLOW »
TOTAL DATA FLOM SIZEI
DATA FLOW OCCURRENCES INFORMATION
KEY 2 (\DX OR DE)
12
12
KEY 3 (\DX OR DE)-
DATA FLOW NAME-
VALIDATED DATA
ST UPDATEDi O7-18-B7
-DATA FLOW DESCRIPTION-
Data which has passed the key-entry editing process but
Nhich has not yet been subjected to validation.
DATA FLOW TYPEi NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATES.
DISCRIMINANT TYPE
SIZE
MAXIMUM
ITERATION
DECIMALS
CONTINUED *
-------
c.k it'ANALYST
>l BRSYBTEM '
-lOHt 6
Annual/Biennial Report SystM
DATA FLOW ATTRJ [6
ANAR20D3, PAGE
O7/2O/Q7.
2O
DATA FLOW NAME-
CONTINUED
VALIDATED DATA
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATEX
OIBCRIHINANT
TOTAL ITEMS IN DATA FLOUt
-SOURCE DESTINATION 1
i
/I
2/1
2/1
01
O2.
02.
O2.
O2
04.01
O4
D02/1
NO
NO
» NO
NO
CEV 1
KEYS
KEYS
KEYS
KEYS
.___ -ut
IXDX OR
ON
ON
ON
ON
DATA
DATA
DATA
DATA
ill* n
DE)
FLOW
FLOW
FLOW
FLOW
.UN 1
B^«WI
*
«»
s«sm
TYPE
NOT DETERMINED
1 TOTAL DATA FLOW SIZE*
DATA FLOW OCCURRENCES INFORMATION
2 (\DX OR DE>
MAXIMUM
SIZE ITERATION DECIMALS
o*
KEY Z -
DATA FLOW NAME
.1DATED DATA
3T UPDATED: O7-18-B7
TOTAL ITEMS IN DATA FLOMi
DATA FLOW DESCR1PT1ON-
Data which has passed both the key-entry edition and
validation processes. All Input data eventually beconas
part of this stream.
DATA FLOW TYPEI NORMAL
CONTAINS
XDATA STRUCTURES, ELEMENTS
NOT DETERMINED
1
ALTERNATEX
DISCRIMINANT
TYPE
TOTAL DATA FLOW SIZEi
SIZE
*
O«
MAXIMUM
ITERATION
O*
DECIMALS
-DATA FLOW OCCURRENCES INFORMATIQN-
-SOURCE
O4
.04.03
DESTINATION KEY 1 C\DX OR DE>
O3 NO KEYS ON DATA FLOW *
03 * NO KEYS ON DATA FLOW «
KEY 2 4\DX OR DE)
KEY 3
-------
ro» . ..ANALY'Jl
(Dl DHSY6TEM VERSION! 6
DATA FLOW NAME-
CONTINUED
ALIDATED DATA
SOURCE DESTINATION
2 OS
2 03.Ol
Annual/Biennial Report System
DATA FLOW ATT TE8
ANAR20D3, PA6E 21
07/20/87, 211'- "4
DATA FLOW OCCURRENCES INFORMATION
KEY 1 (\DX OR DE) KEY 2 <\DX OR DE)-
NO KEYS ON DATA FLOW
* NO KEYS ON DATA FLOW *
KEY 3 (\DX OR DE)
DATA FLOW NAME-
4LIDATION CORRECTED DATA
AST UPDATED: O7-18-B7
TOTAL ITEMS IN DATA FLOMl
DATA FLOW DESCRIPTION-
The stream of data to Mhtch validation corrections have
been applied.
DATA FLOW TYPEI NORMAL
CONTAINS
\DATA STRUCTURES. ELEMENTS
ALTERNATEX
DISCRIMINANT TYPE
-SOURCE DESTINATION
7.04.02 O2.O4.03
NOT DETERMINED
1 TOTAL DATA FLOW SIZEi
DATA FLOW OCCURRENCES INFORMATION
KEY 1 (\DX OR DE) KEY 2 (\DX OR DE)
NO KEYS ON DATA FLOW *
MAXIMUM
SIZE ITERATION DECIMALS
O* 0*
KEY 3 (\DX OR DE)-
DATA FLOW NAHE-
*.IDATION CORRECTIONS
,ST UPDATED: 07-12-87
DATA FLOW DESCRIPTION-
Correctiana that have determined to be necessary by the
examination process.' These corrections Mill be applied to
the data stream.
DATA FLOW TYPE: NORMAL
CONTAINS
\DATA STRUCTURES, ELEMENTS
EPA IDENTIFIER
ALTERNATEX
DISCRIMINANT
TYPE
C
SIZE
12
MAXIMUM
ITERATION
DECIMALS
CONTINUED
-------
I'roKlt "ANALYST
11)1 BRBV6TEM "ERSIONl 6
Annual/Biennial Report System
DATA FLOW ATT TEB
ANAR2OD3, PAoE 22
O7/20/B7, 21lOOi34
CONTINUED
'ALIDATION CORRECTIONS
CONTAINS
\DATA BTRUCTUREB, ELEMENTS
\CHANGE DESCRIPTION
ALTERNATES
OISCRiniNANT
TYPE
MAXIMUM
SIZE ITERATION DECIMALS
TOTAL
SOURCE
'2.03
2.03.O4
2.03
2.03
ITEMS IN DATA FLOW:
DESTINATION
O2. 04
02.04
02.O4.O1
02.O4.O2
EPA IDENTIFIER C 12
3 TOTAL DATA FLOW SIZE: 24 24
KEY 1 CXDX OR DE) KEY 2 (\DX OR DE) KEY 3 <\DX OR DEI
» NO KEYS ON DATA FLOW
* NO KEYS ON DATA FLOW
* NO KEYS ON DATA FLOW
NO KEYS ON DATA FLOW *»
DATA FLOW NAME
ALIDATION ERRORS FROM EXTERNAL CHECKS
DATA FLOW DESCRIPTION
These are errors detected by validation comparisons between
the data base contents "and external implementor data.
AST UPDATEDi 07-12-B7
DATA FLOW TYPEl EXCEPTION
CONTAINS
\DATA STRUCTURES, ELEMENTS
ALTERNATES
DISCRIMINANT
EPA IDENTIFIER
\ERROR DESCRIPTION
EPA IDENTIFIER
TOTAL ITEMS IN DATA FLOW:
-SOURCE
.03.01
DESTINATION
O2.03.04
TYPE
C
C
3 TOTAL DATA FLOW SIZE:
DATA FLOW OCCURRENCES INFORMATION
KEY 1 <\DX OR DE) KEY 2 (\DX OR DE)
NO KEYS ON DATA FLOW
SIZE
12
12
24
MAXIMUM
ITERATION
24
DECIMALS
KEY 3 (\DX OR DE)
-------
ToK it "ANALYST Annual /Biennial R»~>rt Systea ANAR2OD3. PAGE *>3
-Di BRSYSTF SI ON, a X O7/2O/B7. 21 *
DATA FLOW AT EB
DATA FLOW NAME DATA FLOW DESCRIPTION-
ALIDATION ERRORS FROM INTERNAL CHECKS Validation errors detected by internal consistency check
activities.
AST UPDATED! O7-12-67 DATA FLOW TVPEi EXCEPTION
CONTAINS ALTERNATEX MAXIMUM
\DATA STRUCTURES. ELEMENTS DISCRIMINANT TYPE SIZE ITERATION DECIMALS
EPA IDENTIFIER C 12
NERROR DESCRIPTION
EPA IDENTIFIER C 12
TOTAL ITEMS IN DATA FLOMt 3 TOTAL DATA FLOW SIZEi 24 24
DATA FLOW OCCURRENCES INFORMATION
-SOURCE DESTINATION ' KEY 1 (\DX OR DE> KEY 2 (\DX OR DE) KEY 3 <\DX OR DEI-
.03.02 02.O3.O4 NO KEYS ON DATA FLOW *
DATA FLOW NAME DATA FLOW DESCRIPTION
i-IDATION ERRORS FROM INTRABTATE CHECKS Validation errors detected by comparisons of facilities'
reports Mithin one state.
3T UPDATEDl O7-12-B7 DATA FLOW TYPEs EXCEPTION
CONTAINS ALTERNATEN MAXIMUM
\DATA STRUCTURES, ELEMENTS DISCRIMINANT TYPE SIZE ITERATION DECIMALS
EPA IDENTIFIER C 12
\ERROR DESCRIPTION
EPA IDENTIFIER C 12
TOTAL ITEMS IN DATA FLOWt 3 TOTAL DATA FLOW SIZE* 24 24
DATA FLOW OCCURRENCES INFORMATION
-SOURCE DESTINATION KEY 1 <\DX OR DE) KEY 2 (\DX OR DE) KEY 3 (\DX OR DE)
03.OS O2.O3.04 * NO KEYS ON DATA FLOW
-------
roK-,l.ANALYST
ID, ORBVBTr SSION, 6
Annual /Biennial R.port Sy.te.
DATA FLOW NAME-
AL1DATION REPORT
AST UPDATEDi O7-18-B7
FLOW DESCRIPTION
A formatted report performing some validation activities
automatically and allotting others to be done manually (for
example reasonableness checks).
DATA FLOW TYPEl NORMAL
XOAT^BTRUCTURES, ELEMENTS
ALTERNATEN
DISCRIMINANT
TOTAL ITEMS IN DATA FLOW!
TYPE
NOT DETERMINED
I TOTAL DATA FLOW BIZEl
SIZE
**
0«
MAXIMUM
ITERATION
O.
DECIMALS
SOURCE
2.02
2. 02
2.02
2.02
OTAL NUMBER
OTAL NUMBER
DESTINATION
02.03
O2.O3.O3
O2.O3.O1
02.03.02
OF DATA FLOWS ON
OF DATA FLOWS ON
SEA* i%nv oo net _ - - KFV 1 1\DX OR DE> KEY 3 <\DX OR DE)--- ~
NO KEYS ON DATA FLOW
NO KEYS ON DATA FLOW
NO KEYS ON DATA FLOW *»
* NO KEYS ON DATA FLOW *
PROJECT DICTIONARY VERSION 6 : 39
REPORT t 39
-------
PROCESS DESCRIPTIONS
-------
Annual/' ial Report System
6
PRU ..a ATTRIBUTES
"~~^to~~'»~""-S SBSECSS3CS S S SS~ SS2S£SS±SSCl5 = CZSf3SC~~l~ -"~ ___« __ _ ___ _ _ _ __ ______
~~~~~ "" -- S_SBS:2_E = = = = = = = = = = = = =3== = _=_=_S = = SS_=^ = = = _SS_S_== = iS:_s_s_
PROCESS ID NAME --IMPL-BY-- LAST UPDATED
01 ENTER « «'T DATA Diagram 07/I3/B7
' PROCESS NARRATIVE
In this process, data from the report form is entered into the system.
Editing is performed to assure that the contents of the data base matches
the values on the reporting form.
PROCESS ID NAME __IMPL-BY LAST UPDATED
01.01 ACCEPT I ENTER DATA O6/26/B7
PROCESS NARRATIVE
This is the data entry (input) process. Data is entered via a terminal and
stored in an intermediary data store for editing.
===============S= ===!SS:B = :S=SSS======S====S=SS:==:
PROCESS NARRATIVE
This process take the contents of the unedited data store and produces a
listing in a format similar to the report form.
======================================================================-_--=____=_==____=__.
PROCESS ID NAME
O1.03 EXAMINE DATA FOR KEY-ENTRY ERRORS
PROCESS NARRATIVE
The turnaround document is compared to the input form. Any exceptions are
noted and changes required are determined.
======a=======================M=============M=================«
PROCESS ID NAME __1MPL_BY LAST UPDATED
01.03.01 COMPARE T.A.D WITH REPORT FORM oI/26/B7
PROCESS NARRATIVE
The turnaround document Mill be compared with the original input form
submitted. Any exceptions (discrepancies) Mill be noted and forwarded to
the next process which is where required corrections Mill be determined.
-------
07/1L 16:04:51
PROucSS ATTRIBUTES
~*"aCSS"*'" = = ~"~o~"= = SSSS5SSBSSE5SSSSS S wSSSSSSSSSSSS = SSS = 2SSSSSf*~~~ ~" .. ____ _. ._ _ __
PROCESS ID
01.03.02 DETE^'R^RE^C^S""* -mPL-BV- ^WW*
PROCESS NARRATIVE
Discrepancies detected in the previous process Mill be received by this
process. In this process, the changes required to correct the problem Mill
be determined and forwarded to the editing process.
"" ______SB____=========== = =======E=========B==== = = B==== = = = ss====a=B ==== ====: = = == = = = = = s= = = = = = === = = = = = = = = a== = = t= = = = =.. -
PROCESS ID NAME IHPL-BY-- LAST UPDATED
01.04 HAKE KEY-ENTRY CORRECTIONS D.iji. M O7/13?£
PROCESS NARRATIVE
The editing changes required are applied to the data. All data from the
data stare passes through this process. Changes are made to those items
determined to be in error.
PROCESS ID NAME --IMPL-BY LAST UPDATED
01.04.01 DETERMINE IF KEY-ENTRY CORRECTIONS ARE REQUIRED O7/02/87
PROCESS NARRATIVE
The stream of input data is examined and divided logically into two flows:
those records requiring key entry corrections and those not.
"" "" ~""==~==""~~~=~====s===a=====0=ss=============================B============================================================-
PROCESS ID NAME __IMPL_BY__ LAST UPDATED
01.04.02 HAKE KEY-ENTRY CORRECTIONS 07/02/87
PROCESS NARRATIVE
Corrections determined to be necessary to bring the data into conformance
with the report forms are made to the data base.
PROCESS ID NAME __IMF.L_BY__ LAST UPDATED
01.04.03 COMBINE KEY-ENTRY EDITED STREAMS O7/O2/B7
PROCESS NARRATIVE
The two data streams are combined.
-------
it*ANALYSf Annual inial Report System AN»- , F nf>l
BRSYSTEM VERSION: 6 »" . lb:
FRDCESS ATTRIBUTES
= = === = = = = = = = = = = = = = = = = = = = = = =3 = = =: = = = = = = =.= = = = = = = = = .2 = = = = = = = == = = = = = = = = = = === = === = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = !- = = ==-.;
PROCESS ID NAME --1MPL-BY LAST UFDA1LD
02 VALIDATE DATA Diagram 115 07/13/B7
PROCESS NARRATIVE
Data from the entry and editing process is accepted and subjected to
validation procedures. Validation involves checks for responsibility
internal consistency and consistency MIth other data in the implementor
domain. Validated data is stored in the implementar data base by a storage
procedure.
===============================================================================================================================
PROCESS ID NAME IMPL-BY LAST UPDATED
02.01 ACCEPT DATA FOR VALIDATION 06/26/87
PROCESS NARRATIVE
Data is accepted from the edit and entry process.
PROCESS ID NAME --IMPL-BV-- LAST UPDATED
O2.02 PRODUCE VALIDATION REPORT 06/26/B7
PROCESS NARRATIVE
Summary and detailed tables are produced. These tables Mill provide
information Mhich must be verified manually (through telephone calls,
comparison with other data sources, etc.).
B s = a = SBSSS=sssS = = BSSSSS = SSS = = BSS&BSSSSSBSSS = = = = = a = ===aSSSSS = = = = = SSSSSSSl = = = BS=SSSSSS = = B= = SSSS9 = = SSSS = B9 = = = S SB = S=: = = = = = = = = = = = = = = = = = ==S==
PROCESS ID NAME IMPL-BY LAST UPDATED
02.03 EXAMINE DATA FOR REPORTING ERRORS Diagram H6 07/1^/87
PROCESS NARRATIVE
The information provided by validation report generation is analyzed.
Exceptions are noted and any changes required are formulated.
PROCESS ID NAME IMPL-BY LAST UPDATED
02.03.01 COMPARE REPORT WITH EXTERNAL DATA 07/02/87
PROCESS NARRATIVE
The contents of the validation reports are compared Mith external data
sources. Discrepancies are researched and either explained or rectified.
-------
F- %«ANAL VST
I SVblF.M VFR510N: 6
Annual/'
F'FiL
lal Report System
07/1L
I ftl iC 1
m:i>4:M
. AlTRIBUTES
FROCESS ID
02.03.O2
NAME
EXAMINE REPORT FOR INTERNAL CONSISTENCY
--1MPL-DV
LAST UPDATED
07/12/S"7
-PROCESS NARRATWE-
The validation report is examined to insure that data base contents are
internally consistent. This involves two levels of checks:
- consistency MI thin a given facility (totals and details are
consistent)
- consistency between handlers (totals shipped to and received by a
given handler are consistent).
This process implements the former check to insure that data reported by a
single facility is consistent within itself.
PROCESS ID
02.O3.O3
NAME
EXAMINE REPORT FOR INTRASTATE CONSISTENCY
1MPL-BY--
LAST UPDATED
O7/12/87
-PROCESS NARRATIVE-
The validation report is examined to insure tat data base contents are
internally consisten. This involves two levels of checks:
- consistency within a given facility (totals and details are
consistent.
- consistency between handlers (totals shipped to and received by a
handler are consistent)
This process implements the second of these checks to insure that the
totals and detail between all state reports are consistent.
PROCESS ID
O2.O3.O4
-NAME-
IMPL-BY--
DETERMINE VALIDATION CORRECTIONS
LAST UPDATED
O7/17/87
-PROCESS NARRATIVE-
Based on results of the internal and external consistency checks,
corrections needing to be made to the data are determined. These
corrections are passed to another process in which they are applied to the
data stream.
02.04
CORRECT REPORTING ERRORS
Diagram M7
1 ACT IIPRATPn
O7/ 13/87
-PROCESS NARRATIVE-
Any changes determined to be necessary by the validation process are made
to the data. All unvalidated data passes through this process. Changes
** CONTINUED **
-------
P "-ANALYST Annual/' lal Report
1 SYSTEM VEKS10N: 6 07/It
hRL , ATTRIBUTES
= = = = = = = = = ==E = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = J = = = = = = = = = = = = = = = = = = = = = = = S. = ii= = = = I.i.J = = = = = = = = =
PROCESS ID NAME 1MPL-BY-- LAST UPDATED
O2.O4 CORRECT REPORTING ERRORS Diagram «7 07/13/87
* CONTINUED »
PROCESS NARRATIVE
are made to those items determined to be in error.
PROCESS ID NAME --IMPL-BY LAST UPDATED
02.04.01 DETERMINE IF REPORTING CHANGES ARE REQUIRED 07/02/87
PROCESS NARRATIVE
The stream of edited data is examined and separated (logically) into two
flows: those records requiring repair and those not.
PROCESS ID NAME IMPL-BY LAST UPDATED
02.O4.02 MAKE REPORTING ERROR CORRECTIONS O7/02/87
PROCESS NARRATIVE
Reporting errors are repaired through changes to erroneous data.
SSSSSSSSSSESSSSSSSSESSaBS^SSSSSSSSSSDCSSSSSSSSSSS^SSSSSSSSSSSSSISSSSSSSSSSSSSSSSaSSSSSSSSSSS'CSSSSSSSSSSSSCSSSCSSSSSSSSSiSSSSSBSESSSSKCS
PROCESS ID NAME IMPL-BY LAST UPDATED
O2.04.O3 COMBINE VALIDATED DATA STREAMS 07/02/87
PROCESS NARRATIVE
The two data streams are combined.
S!K BS33SSSS8S«33SSSSSES3SEEB3S = SSSSSSSSSSSS25SSSSSSS = SSSSS = SSSSS = = SSESS5SasS:S = 3S3SlSSSSSSCS5S3:s:S = ESSBSSSS = SSBS;E«SS3SESS T?^S~"STr~r
PROCESS ID NAME IMPL-BY LAST UPDATED
02.09 COMPARE REPORT WITH EXTERNAL DATA O7/02/B7
PROCESS NARRATIVE
The contents of the validation reports are compared with external data
sources. Discrepancies are researched and wither explained or rectified.
-------
: 6
"7/1 , LH:ij4:51
F jS ATTRIBUTES
====================================== =========== ---------------------------------
------------------- ----------- = = = = as = = = = = = ~=s = .== = =^^a. = s==.sssf 2=. = :. = = = = =.=
,0 --^-_..._r---_.__
----------------------------- PROCESS NARRATIVE ------------------------------
This process performs three major functions. It created land maintains)
the implement tor domain data base, perform retrievals and report generation
and transmits the implement or data to the oversight domain. In addition,
this process provides any required reporting data to the imp lament or domain
of RCRIS.
===============================°===============«^
PROCESS ID -------------------------- ------- NAME ---------------------------------- IMPL-BY __ LOST
03.01 STORE IMPLEMENTOR DATA IMPL BY
----------------------------- PROCESS NARRATIVE
This process Hntes the validated data to the implement or data base.
=============================== _ =.========s== ===__ ===___ ___ _ ___ _ _
TRANSmT"ovER^6HT"oATA """ ---------------------------------- -inPL-BV-
----------------------------- PROCESS NARRATIVE ------------------------------
This process transmits data to the oversight domain of the reporting
system.
= = = = 3 SSS5SS = SS = = = S= == = f= e -,___ __________
~""""~~~" =~~ = = = = = = ===== = = = == = :=== == = = = === = = ==== = = = === = ==== = = = === = = ss = = = = = = = = = = ^ =
PROCESS ID ~"~~~ NAMP- «-.« i k*m nu
03.03 PRODUCE WASTE GEN. «, H«NA6E«ENT REPORTS "IMPL-BV
----------------------------- PROCESS NARRATIVE --------------------- ' ---------
This process fulfills all standard and ad hoc reporting requirements. This
process Mill allow interactive query as MB! 1 as batch production of
reports.
=================M====================================
PROCESS ID NAME ---------------------------------- IMPL-BV LAST UPDATED
03.04 TRANSMIT DATA TO RCRIS O6/26/B7
----------------------------- PROCESS NARRATIVE ------------------------------
This process Mill perform any reformatting, translation or summarization
required and transmit implement or data to the RCRIS implementor domain.
-------
f '-.ANALYST Annual/ lal heoort Svstem ANtiK?
1 iSYSTEM VERSION: 6 O7/1L UJ:«.4:£|
H'Ri. :> ATTRIBUTES
==
PROCESS ID -------------------------------- TNAME ---------------------------------- |nPL-BY-- LAST UPDATED
03.05 TRANSMIT DATA TO RCRIS O7/IXVB7
PROCESS NARRATIVE
Implementor-Domain data which has passed the validation process is
transformed as necessary and transferred to RCRIS.
PROCESS ID --------------------------------- NAME ---------------------------------- JMPL_BY__ LAST UPDATED
04 RECEIVE OVERSIGHT DATA O6/26/B7
PROCESS NARRATIVE
This process will accept data from the implement or domain and provide it to
the auditing procedure in the oversight domain.
PROCESS ID --------------------------------- NAME ---------------------------------- __IMPL_BY LAST UPDATED
OS AUDIT OVERSIGHT DATA Diagram «9 O7M3/B7
PROCESS NARRATIVE
Data received from the implementor domain is subjected to auditing
procedures. Auditing involves checks for resonabtlity and consistency with
other data in the data store. Data that passed the auditing process is
stared in the national data base by a following storage procedure.
PROCESS ID --------------------------------- NAME ---------------------------------- __IHPL_BY__ LAST UPDATED
09.01 ACCEPT DATA FOR AUDITING O6/26/B7
----------------------------- PROCESS NARRATIVE
Data is accepted from the data transmission/receipt process.
PROCESS ID --------------------------------- NAME ---------------------------------- IMPL-BY LAST UPDATED
OS. O2 PRODUCE AUDIT EXCEPTION REPORT O6/ 26/87
PROCESS NARRATIVE
Summary, detail and comparison reports are produced. These listing Mill
provide information on exceptions which may be detected by machine and
information which must be verified manually. These checks go beyond checks
performed in the validation process as interstate comparisons may be
performed and evaluated.
======.==&
-------
FT- "ANALYST Annual/B =>1 Report System
" YSTE" VERSION: 6
PROL ATTRIBUTES
5S_±CS_5_5_S_5S__;:_>_53_5SS_;_5_3_S_5S_5_5_5_5_5_5_S_3_5_5S_S3SS_=S_;_S_S ~~ -»______.___ ______ ___._,._,__.____,_____ ___________
PROCESS ID NAME _.IripL_BY LAST UPDATED
03-03 PERFORM CONSISTENCY CHECK & AUDITS Diagram ttlO O7/J3/B7
PROCESS NARRATIVE
The reports are examined. Any exceptions Mill be identified and
corrections to problems Mill be defined.
===BBEBSS8s=(ssssE=s_'sa&ac5Bssssss=OE===s===E:e=ssss==Esss==ss=sssa======sssssaa=se±=====s=
PROCESS ID NAME IMPL-BV LAST UPDATED
03.03.01 COMPARE AUDIT WITH EXTERNAL DATA O7/O2/B7
PROCESS NARRATIVE
The contents of the audit reports are compared Nith external data sources.
One class of exception is generated by this check.
= = = ===a = B=== = ==BBS ===B ==== = ==0==B = = = Ba0:S = = = = = = = = = === = EB === = = S: = = = = = = a ===S==B=E = E= = aS!=: = SSBEE=EE = E = = S=E = = = = == = = = = EB = = = = = = «l = = = = =
PROCESS ID NAME __lMPL_By__ LAST UPDATED
09.03.02 EXAMINE REPORT FOR INTERNAL AUDIT CONSISTENCY O7/12/B7
PROCESS NARRATIVE
The audit report is examined to insure that data base contents are
internally consistent. This involves two levels of checks:
- consistency MI thin a given facility (totals and details are
consistent)
- consistency between states (totals shipped to and received by a
state)
This process implements the first of these two checks. This is similar to
the process performed at the implementor level.
PROCESS ID
09.03.03
NAME
EXAMINE REPORT FOR INTERSTATE CONSISTENCY
iriPL-BY
LAST UPDATED
O7/12/87
-PROCESS NARRATIVE-
The audit report is examined to insure that data base contents are
internally consistent. This involves two levels of checks:
- consistency MI thin a given handler report (totals and details are
consistent with each other).
- consistency within and between states (totals shipped to or
generated by a handler agrees with the amounts reported handled.
This process implements the second of these two activities.
-------
A=.STEM VERSION:
Annual, lal Report System
PR. .a ATTRIBUTES
AWAR
07/1
PROCESS ID
OS.03.04
-NAME-
DETERMINE AUDITING CORRECTIONS
-PROCESS NARRATIVE-
Based on results of the internal and external consistency checks,
corrections needing to be made to the data are determined. They are then
passed to another process in which the corrections are applied to the data
stream.
IMPL-BY--
LAS1 UPDATED
07/12/B/
PROCESS ID v NAME --IMPL-BY-- LAST UPDATED
OS.04 APPLY AUDIT CHANGE Diagram Mil O7/13/87
PROCESS NARRATIVE
Changes determined necessary through the auditing process are supplied to
the data base. All data passes through this process. Changes are made as
per corrections specified by the audit process.
====== ===ES=====s=s=:=E3cE==============E=s:ssss:s=:=s:s==:=ss==========s== = ===B======s==s== =s====s====== ==s = ==sc===s===.= = ====:=::=:==
PROCESS ID NAME IMFL-BY LAST UI'DATED
05.04.01 DETERMINE IF AUDIT CHANGES ARE REQUIRED 07/L.2/B7
PROCESS NARRATIVE
The data stream consisting of all unaudited (yet validated) data is split
(logically) into two subsets, that requiring changes and that not requiring
changes. This determination is made on the presence or absence of an
"audit correction" for a given element.
PROCESS ID NAME --IMPL-BY LAST UPDATED
05.04.02 HAKE AUDIT ERROR CORRECTIONS O7/O2/B7
PROCESS NARRATIVE
Audit error corrections are applied to those data elements requiring such
changes.
PROCESS ID NAME IMPL-BY LAST UPDATED
OS.O4.03 COMBINE AUDITED DATA STREAMS O7/02/87
PROCESS NARRATIVE
The two data streams are combined. This process demonstrates that all
*** CONTINUED »
-------
F' «ANttl.YSl Annual/' \a\ Report. System ANAR2' f i'il .L !
I SYSTEM VERSION: t> 07/1B H3:i.4:Sl
FRL. -> ATTRIBUTES
= = = ==== = = = =BSS = = = = ^ = ±£ = ± = Bss = s = s=s = = zss^s = = s = s = s = a = = = s = ^ = = s=:s: = ss = = =: = s = = s = = = = = s£.s;== = = = = = = = === = = = = = = == = s = = ^ = = = = = = = = = =2 = = = = = = =.=:=:.= = == ==. i.^_
PROCESS ID NAME --IMPL-BY-- LAST UPDATED
03.04.03 COMBINE AUDITED DATA STREAMS O7/02/B7
**» CONTINUED «**
PROCESS NARRATIVE '
data, both that which required audit changes and that which does not is
passed to the store and receive process.
PROCESS ID NAME IMPL-BY LAST UPDATED
06 STORE Si RETRIEVE OVERSIGHT DATA Diagram N12 07/17/87
PROCESS NARRATIVE
In this process, the -final oversight domain data is stored and managed.
Oversight reports are produced by this process. Additionally, data is
transferred to the oversight RCRIS by this process.
PROCESS ID NAME IMPL-BY LAST UPDATED
06.Ol STORE OVERSIGHT DATA 07/02/87
PROCESS NARRATIVE
Oversight data received from the auditing process is transformed as
necessary and stared in the oversight data base.
PROCESS ID NAME IHPL-BY LAST UPDATED
06.02 PRODUCE REPORTS O7/02/B7
PROCESS NARRATIVE
Ad hoc and standard oversight reports are produced at this level. For a
description of these reports, see the description of EE 3.
PROCESS ID NAME IMPL-BY LAST UPDATED
06.03 TRANSFER OVERSIGHT DATA TO RCRIS 07/02/B7
PROCESS NARRATIVE
Data which has been subjected to the auditing process and has been accepted
as oversight data is transferred to RCRIS. Any transformations required
for compatibility with the RCRIS data system are made.
TOTAL NUMBER OF PROCESSES ON PROJECT DICTIONARY VERSION 6 : 46
TOTAL NUMBER OF PROCESSES ON REPORT: ' 46
-------
DIAGRAM SUMMARIES
-------
Fro)
II):
MAI NL.T
STEM VERSION: 6
Amuidl/hiF Report System
DATA FLOW D)^ur.AM INFORMATION
U//1B/13
'il
'1 : -1
LOGICAL/
DFD NAME LEVEL PHYSICAL
01 ( 2 LOGICAL
LAST UPDATED: 06-26-87
CURRENT
/ NEW
NEW
EE1
EE1
01.01
D01/1
D01/1
01.04
O1.O3
01.O2
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM:
DATA QTflRF'Q 1 H
DOl/l
TOTAL NUMBER OF DATA STORES ON DIAGRAM:
O1.O1
01.02
01.03
01.04
02
02.01
02.03
02. 04
03
04
O6
TOTAL NUMBER OF PROCESSES ON DIAGRAM:
EXTERNAL ENTITIES: ID
01.03 ANNUAL/BIENNIAL REPORT FORM
01.01 ANNUAL/BIENNIAL REPORT FORM
DOI/1 UNEDITED DATA
01.02 UNEDITED DATA
01.04 UNEDITED DATA
02 EDITED DATA
O1.O4 KEY-ENTRY CORRECTIONS
01.03 TURNAROUND DOCUMENT
B
UNEDITED DATA STORAGE
1
_____ NAME -IMPL6Y
ACCEPT t< ENTER DATA
PRODUCE TURNAROUND DOCUMENT
EXAMINE DATA FOR KEY-ENTRY ERRORS Diagram t»3
MAKE KEY-ENTRY CORRECTIONS Diagram «4
VALIDATE DATA Diagram N5
ACCEPT DATA FOR VALIDATION
EXAMINE DATA FOR REPORTING ERRORS Digram tt&
CORRECT REPORTING ERRORS Diagram «7
STORE RETRIEVE & TRANSMIT DATA Diagram KB
RECEIVE OVERSIGHT DATA
STORE It RETRIEVE OVERSIGHT DATA Diagram HI2
11
KI&MP
EE 1
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM:
RESPONDENT (HANDLER)
-------
Pr "ANALYST Annual/F al Repcir t System ANAR2F PttGL
IL 3YS1EM VERSION: 6 O7/10 19:47:'::
DATA FLOW .uRAM INFORMATION
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O1.O2 3 LOGICAL MEM
LAST UPDATED: O6-25-B7
DATA FLOWS: SOURCE DESTINATION NAME
NO DATA FLOWS FOUND ON THE DIAGRAM
DATA STORES: ID NAME
** NO DATA STORES FOUND ON THE DIAGRAM
PROCESSES: ID NAME IHPLBY--
NO PROCESSES FOUND ON THE DIAGRAM
EXTERNAL ENTITIES: ID NAME
** NO EXTERNAL ENTITIES FOUND ON THE DIAGRAM
-------
raKit«ANALYST Annual/Biennial Repor*- System ANAR2ESA, PAGE
D: BRSYSTEM V IN: 6 O7/1B/B7, 19:47:3
DATA FLOW DIAGRAM INFO.. TIGN
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
01.03 3 LOGICAL NEW
LAST UPDATED: O6-24-B7
DATA FLOWS: SOURCE DESTINATION NAME
EE1 O1.O3.O1 ANNUAL/BIENNIAL REPORT FORM
Ot.O3.01 01.03.02 KEY-ENTRY EXCEPTION REPORT
O1.O3.02 01.O4 KEY-ENTRY CORRECTIONS
O1.O2 01.O3.Ot TURNAROUND DOCUMENT
OTAL NUMBER OF DATA FLOWS ON DIAGRAM: 4
== s======== a===^»===== = *»»=aass5aa^e3CB»=^ss=^asas=ssasa^==as»^==s^ == ===; a:====t ss ===^ss==a=s = =^=K.SSSSSS^B = ss=a:===:=: s ====== = = == = s; =^==:c^==;==== s
DATA STORES: ID NAME
*» NO DATA STORES FOUND ON THE DIAGRAM
=== = = =ss3======s===*«ss=ss=i=«=:s=s=;s===s=:=3s=sa==ss=s==5s=;s==s ========ss= = ?== ==s= = === = = = =:K:====S=:S = :B= = ====,= ====s= = ==«==; =s=s= ===55==== = = :=s=:====ss=:===:=== = = ===== =
PROCESSES: ID NAME IMPLBY
01.02 PRODUCE TURNAROUND DOCUMENT
01.O3.O1 COMPARE T.A.D WITH REPORT FORM
O1.O3.02 DETERMINE REQUIRED CHANGES
O1.04 MAKE KEY-ENTRY CORRECTIONS Diagram #4
OTAL NUMBER OK PROCESSES ON DIAGRAM: 4
= = = = = = = = .= =; = == = =:=s===s=s:s=s^=sss==ss=======:====a =:==:==:======; = === === = = = ==== = a = ==s==; = = ==== = = = =^= = =^=s== == = === === ==^s = = == = = = ==== ==^ = = = ====
EXTERNAL ENTITIES: ID NAME
EE 1 RESPONDENT (HANDLER)
OTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM: 1
-------
Pr
SYSTEM VERSION: 6
Annual/'
DATA FLO.
====?=======
>ial Huport byiLiim
.GRAM INFORMATION
/1L
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O1.O4 3 LOGICAL NEW
LAST UPDATED: 06-24-87
DATA FLOWS: SOURCE DESTINATION NAME
D01/1 01.04.01 UNEDITED DATA
01.04.O3 02 EDITED DATA
O1.03 01.O4.O2 KEY-ENTRY CORRECTIONS
01.03 01.04.01 KEY-ENTRY CORRECTIONS
01.O4.01 01.O4.O2 DATA REQUIRING KEY-ENTRY CORRECTIONS
01.04.01 ' 01.04.03 DATA NOT REQUIRING KEY-ENTRY CORRECTIONS
01.O4.02 01.04.03 KEY-ENTRY CORRECTED DATA
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: 7
-====================00===================================================== ==ss=========ss==============-_=--- =======__====-. _________
DATA STORES: ID NAME
D01/1 UNEDITED DATA STORAGE
TOTAL NUMBER OF DATA STORES ON DIAGRAM: 1
==================================================================================
PROCESSES: ID NAME IMPLBY---
01.03 EXAMINE DATA FOR KEY-ENTRY ERRORS Diagram *Z
O1.04.O1 DETERMINE IF KEY-ENTRY CORRECTIONS ARE REQUIRED
01.O4.02 MAKE KEY-ENTRY CORRECTIONS
01.O4.03 COMBINE KEY-ENTRY EDITED STREAMS
02 VALIDATE DATA Dxagran, «5
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 5
c: = = = = Si~ =z = ~=Z£~~^^===sss=s=szszsxztzs==^ssssssKssssssssss^&sz:== = s-^sfss ==^=.s^ = = ^sssxszz = ^= ==s^szsi^^ ---~& s^-- s= '-'-~ '- *_
EXTERNAL ENTITIES: ID NAME
«** NO EXTERNAL ENTITIES FOUND ON THE DIAGRAM
-------
'lANALVbl
SYSTEM VtKSION: 6
Annudl/F
DATA FLQU
Keport Svstem
INFORMATION
"//IB.
PAUL r
19:47:;
= .= =..= -==£ = =. = _===. ; -
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O2 2 LOGICAL NEW
LAST UPDATED: O7-12-87
DATA FLOWS: SOURCE DESTINATION NAME
O2.04 03 VALIDATED DATA
01 O2.O1 EDITED DATA
D02/1 02.02 INVALIDATED DATA
D02/1 02.04 INVALIDATED DATA
02.01 DO2/1 INVALIDATED DATA
02.O3 02.04 VALIDATION CORRECTIONS
O2.O2 O2.03 VALIDATION REPORT
EE6 02.03 EXTERNAL IMPLEMENTOR DATA
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: B
==-================================================================================--======_===__==_===____&___________
DATA STORES: ID NAME
D02/1 UNVALIDATED DATA STORAGE
TOTAL NUMBER OF DATA STORES ON DIAGRAM: 1
SS = aSSSSS3S = SSSSS = = = SSSSiSS5SSSCSSS3S5 = 5 = S = SSSESSSSSS;55;SS = SSSSS:s:SSSS~~"~I"*l»'""~">~ . _«_________________________ ____ _
PROCESSES: ID NAME |MpLBY
01 ENTER * EDIT DATA Diagram »-
02.OI ACCEPT DATA FOR VALIDATION
02.02 PRODUCE VALIDATION REPORT
02.03 EXAMINE DATA FOR REPORTING ERRORS Diagram »6
02.04 CORRECT REPORTING ERRORS Diagram «7
03 STORE RETRIEVE «. TRANSMIT DATA Diagram HE)
OS AUDIT OVERSIGHT DATA Diagram «9
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 7
=====oats»s«==ao====ss==oc= = =3=s====c==«=e3CEC3=s=s===:=B=s=s=====c = S3 =====s:= = = = = = = = ==== = =S ====KSSS==KS = = = = = = = = = = = == = = = = = = = = = === = = s= = = .s = s=s; = s
EXTERNAL ENTITIES: ID NAME
EE 6 EXTERNAL IMPLEMENTOR DATA SOURCES
i
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM: 1
-------
Fr ANALYST
in .VS1EM VERSION: 6
Annual/B: at Report System
AGP. o
07/18/.. 19:-J7::a
DATA FLOW DIAGRAM INFORMATION
== =========================================================«^
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O2.Ot 3 LOGICAL NEW
LAST UPDATED: O6-24-87
DATA FLOWS: SOURCE DESTINATION NAME
NO DATA FLOWS FOUND ON THE DIAGRAM
========a=M=======M===================================================«
DATA STORES: ID NAME
*«» NO DATA STORES FOUND ON THE DIAGRAM
PROCESSES: ID NAME _ IMPLBY
* NO PROCESSES FOUND ON THE DIAGRAM
EXTERNAL ENTITIES: ID NAnE
*» NO EXTERNAL ENTITIES FOUND ON THE DIAGRAM
-------
F t*ANALYST Annual, ,al Report Sv^.n .^NfiR- I AGC
.SYSTtM VERSION: 6 0/U 19-47- -£J
DAT A FIG. ^GRAM INFORMATION
="=======«================= ============M=================M==^^
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O2.O3 3 LOGICAL NEW
LAST UPDATED: 07-12-87
DATA FLOWS: SOURCE DESTINATION NAME
O2.03.04 02.04 VALIDATION CORRECTIONS
02.02 02.03.02 VALIDATION REPORT
O2.O2 O2.03.O3 VALIDATION REPORT
O2.O2 02.03.01 VALIDATION REPORT
02.03.02 02.03.04 VALIDATION ERRORS FROM INTERNAL CHECKS
02.03.01 02.03.04 VALIDATION ERRORS FROM EXTERNAL CHECKS
EEA 02.03.01 EXTERNAL IMPLEMENTOR DATA
02.03.03 02.03.04 VALIDATION ERRORS FROM INTRASTATE CHECKS
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: 8
DATA STORES: ID NAME
*»* NO DATA STORES FOUND ON THE DIAGRAM
=====================================================================================================================================_-
PROCESSES: ID NAME IHPLBY ..
02.02 PRODUCE VALIDATION REPORT
02.O3.01 COMPARE REPORT WITH EXTERNAL DATA
02.03.02 EXAMINE REPORT FOR INTERNAL CONSISTENCY
02.03.03 EXAMINE REPORT FOR INTRASTATE CONSISTENCY
02.03.04 DETERMINE VALIDATION CORRECTIONS
02.04 CORRECT REPORTING ERRORS Diagram «7
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 6
EXTERNAL ENTITIES: ID NAME
EE 6 EXTERNAL IMPLEMENTOR DATA SOURCES
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM: 1
-------
t*ANAL YS1
RSYSTEM VERSION: 6
Annual/ nial Report System
DATA FLOW DIAGRAM INFORMATION
ANAIV
07/1L
FrtOC D
I1?. 47: 70
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O2.O4 3 LOGICAL NEW
LAST UPDATED: 06-24-87
DATA FLOWS: SOURCE DESTINATION NAME
02.04.03 03 VALIDATED DATA
DO2/I 02.O4.0I UNVALIDATED DATA
02.03 02.04.02 VALIDATION CORRECTIONS
°2.03 02.04.01 VALIDATION CORRECTIONS
02.04.01 02.04.03 DATA NOT REQUIRING VALIDATION CORRECTION
02.04.01 02.04.02 DATA REQUIRING VALIDATION CORRECTIONS
02.04.02 02.04.03 VALIDATION CORRECTED DATA
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: 7
~~ = === = ===============================s============== = ss==s:=====
DATA STORES: ID NAME
D02/1 UNVALIDATED DATA STORAGE
TOTAL NUMBER OF DATA STORES ON DIAGRAM: 1
E = SSS3 = = SSS = S£SSSS=SSSS = S = = = s;ES = ss = S5; = SSS = SS:=. = _ _
PROCESSES: ID NAME _.,MPLBY._.
02.03 EXAMINE DATA FOR REPORTING ERRORS Diaaram *L
02.04.01 DETERMINE IF REPORTING CHANGES ARE REQUIRED
02.04.02 MAKE REPORTING ERROR CORRECTIONS
02.04.03 COMBINE VALIDATED DATA STREAMS
03 STORE RETRIEVE & TRANSMIT DATA Diauram IIP
04 RECEIVE OVERSIGHT DATA *
05.03 PERFORM CONSISTENCY CHECK 8, AUDITS Diagram »!
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 7
ESSSSS&SSSSCCS555S&«CSSSSSSSS&SSSSSSSSSS3C3SSS=CSESSSS""~ ~ ~-i = ».~ __«««_______ _«...___ __
EXTERNAL ENTITIES: ID NAnE
NO EXTERNAL ENTITIES FOUND ON THE DIAGRAM
-------
Fr "ANALYST Annual/p al Report System ,-,NfiR T PAI I
II ,YS1EM VERSION: 6 P ^j^ ^47.-f
DATA FLQU jRAM INFORMATION
========="-===-====================================-===-==============================================!S=== = ===Ji=.=: .= =._=.=,.-.= ._:==_.=
LDGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O3 2 LOGICAL NEW
LAST UPDATEDt O&-26-87
DATA FLOWS: SOURCE DESTINATION NAME
02 03.01 VALIDATED DATA
03.Ot Dl 1MPLEMENTOR DATA
01 O3.O4 IMPLEMENTOR DATA
01 03.03 IMPLEMENTOR DATA
Dl 03.02 IMPLEMENTOR DATA
03.O3 EE2 IMPLEMENTOR REPORTS
O3.02 04 TRANSMITTED OVERSIGHT DATA
03.04 EE4 IMPLEMENTOR DOMAIN RCRIS DATA
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: B
===========================================
DATA STORES: ID NAME
Dl IMPLEMENTQR DATA BASE
TOTAL NUMBER OF DATA STORES ON DIAGRAM: 1
PROCESSES: ID NAME IMPLBY
02 VALIDATE DATA Diagram »S
O3.01 STORE IMPLEMENTOR DATA
O3.02 TRANSMIT OVERSIGHT DATA
03.03 PRODUCE WASTE GEN. S, MANAGEMENT REPORTS
O3.04 TRANSMIT DATA TO RCRIS
O4 RECEIVE OVERSIGHT DATA
TOTAL NUMBER OF PROCESSES ON DIAGRAM! 6
BSS5aaSSSSSS8SSES5SCSSSSSSCSBSS3SSSSS = S= = SSSElCSSSSBSBSSSa = CK:sSSa = = CSSBE3 = aSS = E3 = S&aS=3es e E S -_-. _
EXTERNAL ENTITIES: ID NAME
EE 2 IMPLEMENTOR USE OF REPORTS
EE 4 RCRIS IMPLEMENTQR DOMAIN
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM: 2
-------
F'r
1C
'ANALYST
YSItM VEKSIDN: h
Annual/It al Report L>ysti>ni
DATA FLOW ....43RAM INFORMATION
ANAR2C
..//IB/
IV: -I/: 7H
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
04 2 LOGICAL NEW
LAST UPDATED: O6-19-B7
DATA FLOWS: SOURCE DESTINATION NAME
*»* NO DATA FLOWS FOUND ON THE DIAGRAM
DATA STORES: ID NAME
*» NO DATA STORES FOUND ON THE DIAGRAM
KSS = ^B = ^aS^3a=SS = ^SBBSSSSSSSaSSSaSSSSaBBSSSS^ = 3^BS^SSSSSBBSSS^SS^aB = = aSS^S^^BS^^S = ^ = BSSS = = = SSSSSESSSSSSSSS = = ^ = = = = = = = = 3I== = = = = SB = =^^^ = ==BS^£. = S =
PROCESSES: ID NAME 1MPLBY
OS AUDIT OVERSIGHT DATA Diagram H9
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 1
s=sssscs=SBBBBBBBBisBSBsss:s=sas:ss:ss:EBSSssssBSBBBBssss;ss::s=sBBBBBBBBSBBB3BBB;BBSBBBBBs = = BssBBSBB=BBBB = ss=:::s:±s±::=ssBSB = = ssBusss = ss=:BB;Bs = = =
EXTERNAL ENTITIES: ID NAME
*** NO EXTERNAL ENTITIES FOUND ON THE DIAGRAM
-------
f-
I
ANALYST
SYSTEM VERSION: 6
Annual/'
Report System
07/10
1 1
1'f .47: "H
DATA FLOh .^GRAM INFORMATION
======================================-=====_==__===_=====================_=====_====_========t===i========_=_
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
OS 2 LOGICAL NEW
LAST UPDATED: O7-I1-B7
DATA FLOWS: SOURCE DESTINATION NAME
05.Oi DOS/1 UNAUDITED DATA
DOS/1 03.04 UNAUDITED DATA
DOS/1 OS.02 UNAUDITED DATA
05.04 06 AUDITED DATA
O4 05.Ol RECEIVED DATA
05.02 05.O3 AUDIT EXCEPTION REPORT
EE7 05.O3 EXTERNAL OVERSIGHT DATA
05.O3 05.04 AUDIT CORRECTIONS
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: 8
s======s=====s====s========================= s s ;s==ss:s s===sss==sss£5=s======e===ssss==s3ss==:ssass===ss=K=ss= = £=3s= = = s=s=== = ~ = S:s
DATA STORES: ID NAME
DOS/1 UNAUDITED DATA STORAGE
TOTAL NUMBER OF DATA STORES ON DIAGRAM: 1
~~'~~-""B====!=======s===!======ss=======s==e=asss=c=====ss====sss======s======Ea====ss=== __
PROCESSES: ID NAME IMPLBY
01 ENTER C, EDIT DATA Diagram »2
02 VALIDATE DATA Diagram ttS
03 STORE RETRIEVE S. TRANSMIT DATA Diagram «B
04 RECEIVE OVERSIGHT DATA
05.01 ACCEPT DATA FOR AUDITING
OS.02 PRODUCE AUDIT EXCEPTION REPORT
05.03 PERFORM CONSISTENCY CHECK & AUDITS Diagram *10
05.04 APPLY AUDIT CHANGE Diagram Nil
06 STORE & RETRIEVE OVERSIGHT DATA Diagram HI2
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 9
= = = = = = = = = = = === = = = = = = = = = = = = = === = ========== = = = = = = = = = = = = = === = = = = = = = = = = = = = = = = = = = = = = = = = = = = =S = = = =. = = = = 5S = = S= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = =. = =
EXTERNAL ENTITIES: ID NAME
EE 7 EXTERNAL OVERSIGHT DATA SOURCES
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM: 1
-------
FT ttNALYST
II JYSIEM VERSION: 6
LOGICAL/
run Puvcirai
Annual /H
DATA FLOU
CURRENT
/ MCTU
al Keport System
jRftM INFORMATION
ONAR2K
07/lD
F'flfiK
19:^7:
-r
DFD NAME
OS.O3 3 LOGICAL
LAST UPDATED: O7-11-B7
NEW
DATA FLOWS:
SOURCE
05.02
OS. 02
05.02
EE7
05.03.01
05.O3.02
05.03.04
05.03.03
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM:
DATA STORES: ID
» NO DATA STORES FOUND ON THE DIAGRAM
DESTINATION
05.03.O2
05.O3.O1
05.03.03
05.03.01
O5.O3.O4
05.03.04
05.04
05.03.O4
8
NAnE
AUDIT EXCEPTION REPORT
AUDIT EXCEPTION REPORT
AUDIT EXCEPTION REPORT
EXTERNAL OVERSIGHT DATA
AUDIT ERRORS FROM'EXTERNAL CHECKS
AUDIT ERRORS FROM
AUDIT CORRECTIONS
AUDIT ERRORS FROM
INTERNAL CHECKS
INTERSTATE CHECKS
NAME
PROCESSES: ID NAME
05.O2 PRODUCE AUDIT EXCEPTION REPORT
O5.O3.01 COMPARE AUDIT WITH EXTERNAL DATA
05.03.02 EXAMINE REPORT FOR INTERNAL AUDIT CONSISTENCY
O5.O3.03 EXAMINE REPORT FOR INTERSTATE CONSISTENCY
OS.03.04 DETERMINE AUDITING CORRECTIONS
05.04 APPLY AUDIT CHANGE
TOTAL NUMBER OF PROCESSES ON DIAGRAM:
EXTERNAL ENTITIES: ID-
EE 7
IMPLBY
Diagram Nil
--NAME-
EXTERNAL OVERSIGHT DATA SOURCES
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM: 1
-------
u
ANALYST
3YSTEM VERSION: 6
Annual/f
al Report System
ANAR2'
07/1B
DATA FLOW u.rtGRttM INFORMATION
= = = = = = == = = = = ==== s=s = s=: = = = = = = =:=s = = ==s: = := = = =:=:=:£=:£ss = = = = = s== === = s= :=:=:=::== = = = = = := = :£ = = =:3:!= = = = = = = =-= = =L£ f =-£::=:= = .=. = = := = ££ .= = = = =:;
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL / NEW DESCRIPTION
O5.O4 3 LOGICAL NEW
LAST UPDATED: 06-25-87
DATA FLOWS: SOURCE DESTINATION NAME
DOS/1 05.04.01 UNAUDITED DATA
05.04.03 06 AUDITED DATA
05.03 05.04.02 AUDIT CORRECTIONS
05.03 05.O4.O1 AUDIT CORRECTIONS
05.04.01 05.04.02 DATA REQUIRING AUDIT CORRECTIONS
05.04.01 05.O4.O3 DATA NOT REQUIRING AUDIT CORRECTIONS
O5.O4.O2 O5.O4.03 AUDIT CORRECTED DATA
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: 7
DATA STORES: ID NAME
DOS/I UNAUDITED DATA STORAGE
TOTAL NUMBER OF DATA STORES ON DIAGRAM: 1
PROCESSES: ID NAME --IMPLBY-
05.03 PERFORM CONSISTENCY CHECK & AUDITS Diagram «10
OS.O4.01 DETERMINE IF AUDIT CHANGES ARE REQUIRED
05.04.02 MAKE AUDIT ERROR CORRECTIONS
05.04.03 COMBINE AUDITED DATA STREAMS
06 STORE & RETRIEVE OVERSIGHT DATA Diagram 012
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 5
EXTERNAL ENTITIES: ID NAME
»» NO EXTERNAL ENTITIES FOUND ON THE DIAGRAM
-------
Fr "ANALYST Annual/" al Report System ANfil^r FftlJL K.
1 iYSILM VERSION: 6 O7/JQ. 1-7:47:'
DATA FLOW JRAM INFORMATION
======================================================================================================== = -i=====1.-_^==:.J_J=_=.s.s.JJ__..__
LOGICAL/ CURRENT
DFD NAME LEVEL PHYSICAL /NEW DESCRIPTION
O6 2 LOGICAL NEW
LAST UPDATED: O7-12-87
DATA FLOWS: SOURCE DESTINATION NAME
OS ' O6.01 AUDITED DATA
06.Ol D2 OVERSIGHT DATA
D2 06.03 OVERSIGHT DATA
D2 06.02 OVERSIGHT DATA
06.02 EE3 OVERSIGHT REPORTS
O6.O3 EES OVERSIGHT DOMAIN RCRIS DATA
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM: 6
=====s===ss-============s============================================================s=-=====sa========sa===================s====.===
DATA STORES: ID NAME---
02 OVERSIGHT DATA BASE
TOTAL NUMBER OF DATA STORES ON DIAGRAM: 1
PROCESSES: ID NAME IMPLBY
OS AUDIT OVERSIGHT DATA Diagram H9
06.01 STORE OVERSIGHT DATA
06.O2 PRODUCE REPORTS
O6.03 TRANSFER OVERSIGHT DATA TO RCRIS
TOTAL NUMBER OF PROCESSES ON DIAGRAM: 4
«*"" «M »«-«______«.»B _ »_ _ _ s B « ««EM_«HMMM_ESS&SSSSSSSSSSSSSSS&KSSX5SSS S = = SCS = = = SSS S SCSS2 !S = SS SS = S^ SSSESSZZBSSSS&KSlH
EXTERNAL ENTITIES: ID NAME
EE 3 OVERSIGHT USES OF DATA
EE 5 RCRIS OVERSIGHT DOMAIN
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM: 2
-------
Fr v«ANALYST
I SYSTEM VERSION: 6
LOGICAL/
DFD NAME LEVEL PHYSICAL
BRSYSTEM 1 PHYSICAL
LAST UPDATED: O7-12-87
Annual/F
DATA FLOW
==================
CURRENT
/ NEW
»al Report System
.GRAM INFORMATION
ANAR?
07/1G
PAGE
1 ;-,
NEW
DESCRIPTION
ANNUAL/BIENNIAL INFORMATION SYSTEM
PRIMARY DATA FLOU DIAGRAM
DATA FLOWS: SOURCE
O2
03
EE1
01
05
06
03
04
O6
03
03
06
EE6
EE7
TOTAL NUMBER OF DATA FLOWS ON DIAGRAM:
DATA STORES: ID
DESTINATION
03
Dl
01
O2
06
D2
EE2
OS
EE3
04
EE4
EE5
02
05
14
1
VALIDATED DATA
IMPLEMENTQR DATA
ANNUAL/ BIENNIAL REPORT FORM
EDITED DATA
AUDITED DATA
OVERSIGHT DATA
IMPLEHENTOR REPORTS
RECEIVED DATA
OVERSIGHT REPORTS
TRANSMITTED OVERSIGHT DATA
IMPLEMENTQR DOMAIN RCRIS DATA
OVERSIGHT DOMAIN RCRIS DATA
EXTERNAL IMPLEMENTOR DATA
EXTERNAL OVERSIGHT DATA
JAMP
Dl
D2
TOTAL NUMBER OF DATA STORES ON DIAGRAM:
IMPLEMENTQR DATA BASE
OVERSIGHT DATA BASE
PROCESSES: ID
01
02
03
04
OS
05.03
05.04
06
ENTER 8. EDIT DATA
VALIDATE DATA
STORE RETRIEVE S, TRANSMIT DATA
RECEIVE OVERSIGHT DATA
AUDIT OVERSIGHT DATA
PERFORM CONSISTENCY CHECK S. AUDITS
APPLY AUDIT CHANGE
STORE & RETRIEVE OVERSIGHT DATA
IMPLBY
Diagram *2
Diagram US
Diagram *Q
Di agram #9
Diagram Ik 10
Diagram Mil
Diagram Ml 2
TOTAL NUMBER OF PROCESSES ON DIAGRAM:
EXTERNAL ENTITIES: ID
EE 1
EE 2
** CONTINUED «
RESPONDENT (HANDLER)
IMPLEMENTQR USE OF REPORTS
--NAME-
-------
t»ANAI VST
^SYSTEM VERSION:
Annual/
11al report System
LOGICAL/
DFD NAME LEVEL PHYSICAL
BRSYBTEH 1 PHYSICAL
LAST UPDATED: O7-12-87
DATA FLOW _iAGRAM JNFDFvtlAI IUN
CURRENT
/ NEW
ANAK
U7/1.
I i tl >l i '
19:47: ;C
DESCRIPTION
NEW
EXTERNAL ENTITIES: ID
** CONTINUED »*
EE 3
EE 4
EE 5
EE 6
EE 7
TOTAL NUMBER OF EXTERNAL ENTITIES ON DIAGRAM:
OVERSIGHT USES OF DATA
RCRIS IMPLEMENTQR DOMAIN
RCRIS OVERSIGHT DOMAIN
EXTERNAL IMPLEMENTQR DATA SOURCES
EXTERNAL OVERSIGHT DATA SOURCES
-------
****
National Governors' Association unointon
^ Governor of Arkansas
. **" Chairman
Raymond C Scheppach
Executive Director
APPENDIX 0
Project Management Plan For Annual/Biennial
Report Software Development
HALL OF THE STATES 444 North Capitol Street Washington. D.C. 20001 -1572 (ZOZ) 624-5300
-------
PROJECT PLAN FOR
ANNUAL/BIENNIAL
REPORT SOFTWARE
DEVELOPMENT
Presented to:
Environmental Protection Agency
Office of Solid Waste
Information Management Section
401 M Street, S.W.
Washington, DC 20460
Prepared by:
CRC Systems. Inc.
11242 Waples Mill Road
Fairfax, Virginia 22030
(703) 359-9400
SEPA
July 22,1987
The Systems Specialists
-------
SECTION 1
UNDERSTANDING THE REQUIREMENTS
1.1 BACKGROUND
EPA's mission to protect human health and the environment includes the
responsibility of jointly regulating with the states all parties involved in the management of
hazardous waste, as hazardous waste is defined by the Resource Conservation and Recovery Act
(RCRA) of 1976. As part of this regulatory activity, EPA is required to collect information on a
biennial basis from generators and other handlers of hazardous waste, as a means to report to
Congress and the public on locations, quantities, and disposition of the waste and to be able to assess
the effectiveness of existing regulations. The mandate for EPA to require handlers of regulated
wastes to submit reports biennially appears in the 40CFR, section 264.75.
Although the various states have individual reporting requirements for their handlers,
all the generators in all states are responsible to EPA, as well. It is of great concern to the EPA, and
vital to the mission of protection of health and environment, that certain information on generation,
treatment, storage and disposal of hazardous waste nationwide be available and kept up-to-date
through biennial reporting. The information must be uniform across states, to be amenable to
analysis. The EPA needs such information to assess the state of the hazardous waste industry on a
national basis, and to measure EPA nationwide progress in its mission. The information must also
be readily available outside the EPA because states and regions need immediate access to data to
support activities in enforcement, permitting, and program management
Within the existing Biennial Reporting System, EPA has the capability of producing
reports, but they are not accurate nor are they timely. Software is required to support the Biennial
Report This Project Plan addresses the software development effort
-------
7.2 PROJECT PLAN
The Biennial Report software development project consists of four major elements:
o Data Entry Screens - The screens and software which will allow states to
enter the data required for the Biennial Report. This software must be
consistent with the final forms developed by the Advisory Council, and must
allow entry of data as reported by handlers, even if it is incorrect.
o Quality Assurance - Software which will allow validation of the data entry,
including the mechanisms required to follow up on incomplete forms or
inaccurate data submitted by handlers.
o Summary Reports - Software which will produce the Summary Report
information required by Headquarters, and for Congressional reports.
o National Data Base - Software and operating protocols to provide for national
processing of data.
The first three of these elements are most critical for release, while the national data
base can be developed after report data entry has begun. This Project Plan addresses the project for
the development of a complete automated system to support the data entry, quality assurance, other
reports, and the national data base requirements to fulfill EPA's mandate for the biennial reporting
system.
1.3 EFFORTS TO DATE
At the request of the U.S. Environmental Protection Agency (EPA), the National
Governors' Association (NGA) has formed a RCRA Annual/Biennial Reporting System Advisory
Council to participate in revising RCRA's primary reporting system for handlers of hazardous waste.
The Council is composed of representatives from State Governments, the RCRA-regulated
community, interested outside parties (including environmental groups), and representatives from
EPA's headquarters and regional offices. NGA and EPA provide staff support to the Advisory
Council.
-------
The first aspect of the reporting system which is being addressed by the Council is
the redesign of the forms to be used by handlers in reporting information on their hazardous-waste
activities to States and EPA regional offices. The Advisory Council defined five major information
objectives to be achieved through the reporting system:
(1) Waste Characterization - Information describing the nature of wastes subject
to regulation under RCRA and associated State regulatory programs.
(2) Waste and Process Quantity Tracking - Information detailing the quantities
of RCRA and State hazardous wastes that are generated, the sources of such
quantities, and the manner in which such quantities are subsequently managed.
'(3) Regulatory Status - Information describing the reporting-year status of
hazardous-waste handlers subject to regulation under RCRA and associated
State regulatory programs.
(4) Waste Minimization - Information describing handlers' practices and
accomplishments in reducing both the quantities of hazardous waste and the
nature of the hazards posed by such wastes.
(5) Capacity Availability - Information detailing the amount of capacity
remaining at the end of the reporting period for processes used in treating,
storing, or disposing of hazardous wastes.
A paper discussing alternatives and recommendations for these five (5) areas, titled
"Five Priority Subject Areas to be addressed in the 1987 Biennial Report" was prepared, and will
likely be the primary basis for the forms to be developed for use by the states.
The Software Development Project is progressing in concert with the development of
Biennial Report forms by the Advisory Council, and the remainder of this Project Plan addresses the
following for the Software Development Project:
o Project Organization and Responsibilities
o Methodology and Tools
o Documentation Requirements
o Schedule and Milestones
-------
SECTION 2
PROJECT ORGANIZATION AND RESPONSIBILITIES
2.1 PROJECT TEAM COMPOSITION
The Biennial Report Software Development Project will be addressed by a team
consisting of the following EPA organizations and outside contractors:
o Office of Solid Waste (OSW) Information Management Staff (IMS)
o Office of Information Resources Management (OIRM)
o National Governors Association Council (NGA) Advisory Council
o CRC Systems, Inc.
o Development Planning and Research Associates (DPRA)
o TECHLAW
The roles and responsibilities of each are described in the following sections.
2.2 OFFICE OF SOLID WASTE, INFORMATION MANAGEMENT STAFF
2.2.1 RESPONSIBILITIES
The following tasks will be the primary responsibility of OSW staff:
o Development of Mission Element Needs (MENS) statement, required by the
OSWER Life Cycle Management Guidelines
o Development of the Annual/Biennial Report forms, in conjunction with the
National Governors' Association Advisory Council
o Development of the Feasibility Study
o Development of the Requirements definition for the system, including
identifying all interviewees
o Development of system architecture
-------
o Development of system design
o Overall project management, design, and coordination with functional
requirements
222 STAFF ASSIGNMENTS
Donna Inman is the Project Manager within OSW, working under the direction of
George Bonina.
Michael Bums is responsible for forms development, coordination between the
Advisory Council and the software development project team, and for final decisions on all
functional and EPA program aspects of user requirements.
Alex Salpeter is responsible for all coordination with the OSWER Configuration
Management Board and Steering Committee.
2.3 OFFICE OF INFORMATION RESOURCES MANAGEMENT
23.1 RESPONSIBILITIES
OIRM will review products during the Software Development Project, and will
provide advice and oversight related to EPA's software and hardware directions.
2.4 DEVELOPMENT PLANNING AND RESEARCH ASSOCIATES (DPRA)
2.4.1 RESPONSIBILITIES
The following tasks will be completed by DPRA:
Maintain the Project Notebook, including minutes of weekly progress meetings
o
o
o
Provide assistance to OSW in system requirements, architecture, and design
Provide programming for data entry screens, summary reports, quality
assurance, and the national database
-------
o Act as the project librarian for storage and dissemination of all materials to all
Project Team members
o Provide User Support after implementation
o Provide logistical support to OSW for scheduling of meetings and notification
to all team members
2.42 STAFF ASSIGNMENTS
Thomas Graham will serve as the Responsible Corporate Officer for DPRA. He will
supervise DPRA's activities during system requirements, specification, design
and programming activities. He will provide technical assistance in the
development of system specifications and determination of the system
architecture.
Sue Graham will serve as the Project Manager for the system development effort. She
will be responsible for DPRA's deliverables and staff assignments during the
specification, design, programming, and testing activities. She will provide
technical support to all phases of system development
Kathy Corcoran will be the Project Librarian and will maintain the Project Notebook.
Programming staff will be assigned to this project as resource requirements are
finalized.
2.5 TECHLAW
2J.7 RESPONSIBILITIES
The following tasks will be completed by TECHLAW:
o Assistance in Requirements Definition, by providing interviews related to
problems which existed in the last Biennial Report cycle.
o Assistance in developing system operation and maintenance cost estimates
based upon TECHLAW's work on the 1985 Alabama Biennial Report.
o Assistance in developing specifications for turnaround reports and summary
reports for the system.
o Preparing a test data set by developing requirements for sample data forms to
be used to test the system, and completing sample test forms.
o Manually preparing turnaround and summary reports for comparison with
system generated reports.
-------
252 STAFF ASSIGNMENTS
Brian Eaton will be the primary consultant and Project Manager for TECHLAW.
Karen Kraynak will be the Staff Associate assigned to this project.
Additional staff for test form preparation and manual report preparation will be
identified as resource requirements are finalized.
2.6 CRC SYSTEMS
2.6.1 RESPONSIBILITIES
The following tasks will be completed by CRC:
o Preparation of the task plans for data entry, the summary reports, quality
assurance, and the national database.
o Independent testing and acceptance of software for data entry, summary
reports, quality assurance, and the national database.
o Review of all project deliverables for compliance to OSW standards and
project plan requirements.
o Preparation of training materials and presentation of training to users for data
entry, quality assurance, and summary reports.
o Project management support to OSW, including maintenance of the Project
Plan on MICROSOFT PROJECT, and tracking of deliverables.
o Project plan preparation.
* o Preparation of Documentation Standards for all documents to be produced on
the project
o Data entry support, analytical reports, and maintenance for data flow diagrams.
2.62 STAFF ASSIGNMENTS
Theresa Bousquin will serve as Project Manager for CRC Systems, providing key
technical and administrative support in the overall project management and
coordination of the tasks for this project
Julia Towler will be the Junior Analyst assigned. She will provide support in project
scheduling, tracking, testing and training activities.
A senior analyst and additional staff for testing will be assigned as resource
requirements are finalized.
-------
2.7 NATIONAL GOVERNOR'S ASSOCIATION
The National Governors' Association will staff the Advisory Council and will be
responsible for verifying the requirements of the system for State users.
2.8 CMS AND OSWER STEERING COMMITTEE
2.8.1 RESPONSIBILITIES
All OSWER Life Cycle Management Guidelines will be followed, including
submission of all required documents to the Configuration Management Board and Steering
Committee. Alex Salpeter will coordinate these efforts.
8
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SECTION 3
METHODOLOGY AND TOOLS
3.1 DESIGN TOOLS
This project will follow a structured design and development approach, using data
flow diagrams for representation of the system and operations.
Visible Analyst, a product of Visible Systems Corporation, will be used as an
automated design tool for structured systems analysis tasks. Visible Analyst is a multi-purpose
design tool which operates on personal computers, and is comprised of three basic software
modules:
o A module as an analyzing tool;
o A diagramming module:
o A data dictionary as an organizing module.
The diagramming module provides the standard diagram symbols, and contains a
level-to-level balancing feature which verifies the conservation of data flows by comparing a
specific process with its lower level diagrams. Processes can be nested, and customized symbols can
be added to diagrams as needed.
The data dictionary module serves as the central repository for all data and other
information about a system's design. Entries for the processes, data flows, data stores, sources, and
sinks are created as diagrams are stored. Additional information can be added and stored in
VISIBLE ANALYST about each data dictionary entry, including data structures, files, charts, or
narratives. ASCH file links with the data dictionary are possible, easing the documentation efforts.
The analysis features, coupled with the reports which can be produced from the Data Dictionary
module, allow analysts to check the consistency of diagrams, inputs, outputs, and relationships early
in the design process, thereby avoiding costly design errors.
-------
VISIBLE ANALYST provides analysts with a powerful tool for monitoring and
controlling complex systems. In addition, for projects such as this where multiple analysts are used,
changes can be audited and tracked, thereby avoiding the mishaps which result from communication
errors.
3.2 PROJECT MANAGEMENT TOOLS
MICROSOFT PROJECT will be used as the Project Management tool, to track all
deliverables, due dates, and resource requirements. It will be maintained by CRC Systems, and will
be used by OSW. Weekly presentations of progress toward deliverables will occur at the weekly
progress meetings.
10
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SECTION 4
DOCUMENTATION REQUIREMENTS
4.1 GENERAL
Two types of documentation will be produced during this project:
o Documentation to comply with OSWER Life Cycle Management Guidelines,
and
o Project Documents as the working documentation for the software
development
The working documentation will be combined to provide the System Decision Paper
(SDP) documents required for presentation to the Configuration Management Board.
Outlines of the major elements of the documentation are presented in the following
sections.
42 COMPLIANCE WITH OFFICE OF SOLID WASTE LIFE CYCLE
MANAGEMENT GUIDELINES
The project will comply with the Life Cycle Management Guidelines of the Office of
Solid Waste and Emergency Response. The contents of documents for each phase of the Life Cycle
are summarized in the following sections.
42.1 PHASE 1-SYSTEM INITIATION ,
o Mission Element Needs Statement (MENS)
4.2 2 PHASE 2- CONCEPT DEVELOPMENT (SDP1)
o Proposed project plan
o System requirements documentation
o Feasibility and economic analysis
11
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423 PHASE 3- DEFINITION AND DESIGN (SDP2)
o Configuration Management Plan
o Test plans, technical and user documentation, and training plan
o Documentation of structured walk throughs of the system (Physical data base
design, detailed system design)
o System design documentation
42.4 PHASE 4- SYSTEM DEVELOPMENT (SDP3)
o Program coding
o Unit and Integration Testing Results
o Certification that the system meets user needs
o Certification that the system meets the needs identified in the MENS
o Training Materials
423 PHASE 5- OPERATIONS AND MAINTENANCE (SDP4)
o Certification that the system continues to meet needs
o System Audit and Review
4J PROJECT DOCUMENTS
The following documents are required for the development team to complete this
project, following a structured design approach. The documents are sub-divided into two areas: Life
Cycle Management and Appendix documents.
4.3.1 LIFE CYCLE DOCUMENTS
43.1.1 Feasibility Paper
The Feasibility Paper will include the project overview and will identify all
assumptions and constraints. Information about State/Regional hardware/software capabilities will
be addressed at this time. Analysis of the potential volume of utilization and the potential funding
sources will be included in the paper. An understanding of the data volume anticipated (state by
state) and potential user access methods/resource requirements will be included, as well as staffing
information, system development, operation, maintenance cost and time. The paper will present
conclusions and offer recommendations based upon the analysis.
12
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4.3.1 .2 Requirements Definition
The Requirements Definition will present the project background followed by an
overview of all required components. The following components will be addressed in detail:
o Data Entry Components
o Quality Assurance Components
o Summary Report Components
o National Database Components
The Requirements Definition will include a detailed description of the scope of the
project.
4.3.1.3 Documentation Standards
The documentation standards will include a list of all documents to be developed in
support of this project. A description of general and specific standards will be included with a
document delivery schedule.
4.3.1 .4 Architectural Design
The Architectural Design will describe the hardware and software configuration to be
used for this project, including alternatives which may be possible.
4. 3.1 3 System Specifications Document
The System Specification document will describe in detail the conceptual and
detailed design. It will include consistency factors, error checking design, the system data flow,. and
the data element dictionary.
4. 3.1 .6 Test and Acceptance Han
The Test and Acceptance plan developed for this project will describe the scope of
testing and provide the minimum acceptable levels of performance. It will include a detailed
description of the testing process and system error reporting. A timetable/schedule for testing phases
is required for each portion of the development. A process describing acceptance, error notification
and notification of corrections will be included.
13
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43.1.7 Change Control Management Document
The Change Control Management document will provide guidelines and procedures
for requests for changes to be submitted to the Configuration Management Review Board. Copies of
, OSWER AIS Configuration Change Request Forms and instructions will also be included.
43.1.8 User Manual
The User Manual will include a brief system overview with goals and objectives. The
manual will provide examples of all menus, screens, and outputs. User instuctions will be presented
in a clean and concise manner. A glossary of terminology and error messages will be included.
43.1.9 Maintenance Manual
The Maintenance Manual will provide a technical description of the system and will
contain pseudo code as well as all coding, system flow charts, file structure, edits, and field
definitions. System requirements (hardware/software) and installation instructions must be
addressed.
4.3.1.10 Training Manual
The Training Manual will, at a minimum, include all menu, screen, and output
examples with clear descriptions of the relationships. Lessons and instructions demonstrating the
system will be included, for both the initial training sessions and for self-training by those who do
not attend the initial training.
14
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4.32 APPENDIX DOCUMENTS
4.32.1 Project Notebook
The Project Notebook will contain all copies of communications and meeting notes
pertaining to this project. It will identify in detail all resource allocations required for project
completion. Any problems/issues and their corresponding resolutions will be described and tracked
in an organized manner for reference.
4.32.2 Project Plan
The Project Plan will describe the goals and objectives to be accomplished by this
project. It will include a timeline and schedule, identify deliverables, and document assignment of
project responsibilities.
15
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SECTION 5
SCHEDULE AND MILESTONES
TASK
1. Prepare Project Plan
2. 1st Draft of Forms
3. Submit MENS to Steering
Committee
4. Submit Issue Paper #1 to NGA
5. 2nd Draft of Forms
6. Feasibility Study
7. Configuration Management Plan
8. System Architecture
9. Data Entry System Specs
10. Data Entry Walkthru
11. NGA Evaluation of Forms
12. Requirements Definition
13. Submit SDP1 to Steering Committee
14. Develop Test Data
START
DATE
6/02/87
6/22/87
7/02/87
7/02/87
7/01/87
6/24/87
8/03/87
7/23/87
7/22/87
8/18/87
8/19/87
7/13/87
7/27/87
COMF1
DATE
6/15/87
6/22/87
7/02/87
7/22/87
7/22/87
7/31/87
8/03/87
8/14/87
8/18/87
8/18/87
8/20/87
8/24/87
8/24/87
8/28/87
16
-------
15. Forms Final
8/21/87
9/30/87
16. Data Entry Development of
Test Plan
17. Data Entry Coding & Unit Testing
18. Revise SDP1
19. Submit SDP2 to Steering Committee
for Data Entry
20. Data Entry 1st Pass Testing
21. QA System Specification
22. Data Entry 1st Pass Revisions
23. Submit SDP2 to Steering Committee
forQA
24. QA Walkthru requirements
25. Data Entry 2nd Pass Testing
26. Data Entry 2nd Pass Revisions
27. QA Development Test plan
28. Summary System Specification
29. Summary Walkthru requirements
8/31/87
8/19/87
8/25/87
10/01/87
10/01/87
10/29/87
11/11/87
11/12/87
11/19/87
11/12/87
11/12/87
11/30/87
9/30/87
9/30/87
10/06/87
10/07/87
10/28/87
11/11/87
11/11/87
11/11/87
11/11/87
11/18/87
11/25/87
11/25/87
11/25/87
12/02/87
17
-------
30. Data Entry 3rd Pass Testing
11/30/87
12/04/87
31. Submit SDP2 to Steering Committee
for Summary Reporting
32. QA Coding & Unit Testing
33. Data Entry 3rd Pass Revisions
34. Data Entry Walkthru 2
35. Data Entry Integration
36. Summary Development Test Plan
37. Data Entry Integration Testing
38. Data Entry Finalize
39. QA 1st Pass Testing
40. Summary Report System Coding & Unit
Testing
41. Submit SDP3 to Steering Committee
for Data Entry
42. Data Entry Release
43. QA 1st Pass Revisions
44. QA 2nd Pass Testing
11/12/87
12/07/87
12/11/87
12/14/87
11/30/87
12/17/87
12/24/87
12/14/87
12/14/87
1/15/88
1/13/88
1/27/88
12/09/87
12/11/87
12/11/87
12/11/87
12/16/87
12/18/87
12/23/87
1/08/88
1/12/88
1/12/88
1/15/88
1/15/88
1/26/88
2/02/88
18
-------
45. Data Entry Training (East-
West-Midwest)
1/25/88
2/09/88
46. 1 st Pass Testing of
Summary Reporting
1/13/88
2/09/88
47. National Data Base Design
and Concept Paper
48. QA 2nd Pass Revisions
49. QA 3rd Pass Testing
50. Summary 1st Pass Revisions
51. QA 3rd Pass Revisions
52. Summary 2nd Pass Testing
53. QA Walkthru 2
54. Summary 2nd Pass Revisions
55. Summary 3rd Pass Testing
56. Summary 3rd Pass Revisions
57. Summary Walkthru 2
58. QA Integration
59. Summary Integration
1/13/88
2/03/88
2/10/88
2/10/88
2/17/88
2/24/88
2/24/88
3/02/88
3/09/88
3/16/88
3/23/88
3/03/88
4/07/88
2/09/88
2/09/88
2/16/88
2/23/88
2/23/88
3/01/88
3/02/88
3/08/88
3/15/88
3/22/88
3/25/88
4/06/88
4/13/88
19
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