&EBH
United States
Environmental Protection
Agency
Office of
Solid Waste
Washington. DC 20460
August 2007
RCRAINFO
FILE SPECIFICATION GUIDE
2007 HAZARDOUS WASTE
REPORT SUBMISSIONS
RCRA
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TABLE OF CONTENTS
1.0 INTRODUCTION 1
1.1 Overview of Document 1
1.2 Intended Audience 1
1.3 Hazardous Waste Report Forms 2
1.4 Data Files 2
1.5 Questions/Comments 3
2.0 CHANGES FROM PREVIOUS CYCLES 4
2.1 Generation and Accumulation of Universal Waste 4
2.2 Received Date 4
2.3 Loading Data into the Production Environment 4
2.4 Handler Name 4
2.5 Foreign States 4
3.0 DATA SUBMISSION OVERVIEW 5
3.1 Data Requirements 5
3.2 Data Submission 5
3.3 Amount of Data in a Single Submission 6
3.4 States/Regions not using the 2007 Hazardous Waste Report, Instructions and Forms 6
3.4.1 Identify Sites 6
3.4.2 Access Equivalent Data 6
3.4.3 Data Quality/Equivalency 7
3.4.4 Write Translated Data to Flat Files 8
3.4.5 Generating aControl File 8
4.0 TECHNICAL SPECIFICATIONS 9
4.1 Include in National Report Flags 9
4.2 State Generator Status 9
4.3 Rules and Format Conventions Required for Data Flat Files 9
4.3.1 Alphanumeric Fields 9
4.3.2 Integer Fields 10
4.3.3 Fixed Decimal Fields 10
4.3.4 Sequence Number Fields 11
4.3.5 Negative Numbers 11
4.4 Indicating Don't Know (DK) and Not Applicable (NA) 11
4.5 Record Termination 11
4.6 Empty Fields 11
4.7 Flat File Hierarchy 11
4.8 Confidential Business Information (CBI) 11
APPENDIX A - Required Data Elements A-l
Required Fields for Flat File SI 1 A-l
Required Fields for Flat File SI2 A-2
Required Fields for Flat File SI6 A-3
Required Fields for Flat File SI7 A-3
Required Fields for Flat File SI9 A-3
Required Fields for Flat File GM1 A-4
Required Fields for Flat File GM2 or GM3 A-4
Required Fields for Flat File GM4 A-5
Required Fields for Flat File GM5 A-5
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Required Fields for Flat File WR1 A-6
Required Fields for Flat File WR2 or WR3 A-6
APPENDIX B - Flat File Specifications and Data Edits B-l
B.I Key For Flat File Tables B-l
B.2 Flat File Naming Convention B-l
B.3 Flat Files Specifications and Data Edits B-2
FLAT FILE ID# - CTL B-3
CTL Flat File Edit Specifications B-4
FLAT FILE ID# - SI 1 B-5
SI1 Flat File Edit Specifications B-9
FLAT FILE ID# - SI2 B-12
SI2 Flat File Edit Specifications B-14
FLAT FILE ID# - SB B-15
SB Flat File Edit Specifications B-16
FLAT FILE ID# - SI4 B-17
SI4 Flat File Edit Specifications B-18
FLAT FILE ID# - SIS B-19
SIS Flat File Edit Specifications B-20
FLAT FILE ID# - SI6 B-21
SI6 Flat File Edit Specifications B-22
FLAT FILE ID# - SI7 B-23
SI7 Flat File Edit Specifications B-24
FLAT FILE ID# - SIS B-25
SIS Flat File Edit Specifications B-26
FLAT FILE ID# - SI9 B-27
SI9 Flat File Edit Specifications B-29
FLAT FILE ID#-GM1 B-30
GM1 Flat File Edit Specifications B-32
FLAT FILE ID# - GM2 B-34
GM2 Flat File Edit Specifications B-35
FLAT FILE ID# - GM3 B-36
GM3 Flat File Edit Specifications B-37
FLAT FILE ID# - GM4 B-38
GM4 Flat File Edit Specifications B-39
FLAT FILE ID# - GM5 B-40
GM5 Flat File Edit Specification B-41
FLAT FILE ID# - WR1 B-42
WR1 Flat File Edit Specifications B-44
FLAT FILE ID# - WR2 B-45
WR2 Flat File Edit Specifications B-46
FLAT FILE ID# - WR3 B-47
WR3 Flat File Edit Specifications B-48
FLAT FILE ID# - Oil B-49
APPENDIX C - Hazardous Waste Report Annotated Forms C-l
APPENDIX D - Flat File Hierarchy D-l
APPENDIX E - State Postal Codes E-l
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1.0 INTRODUCTION
This document describes the file specifications for reporting data for the 2007 Hazardous Waste Report
(also called the Biennial Report). The material in this guide covers submissions by States and Regions to
EPA Headquarters (HQ). The file specifications in this guide are not intended to be used to cover
submissions by individual reporting sites. Also, this guide is only intended to specify the file and data
formats for the submission and is not intended to cover any procedural or EPA programmatic issues.
This document is designed to be used in conjunction with the 2007 Hazardous Waste Report, Instructions
and Forms, EPA Form 8700-13A/B that is referenced throughout this document. You should have a
complete copy of the 2007 Hazardous Waste Report, Instructions and Forms in your possession while
using this guide. Copies of the 2007 Hazardous Waste Report, Instructions and Forms will be available
at http://www.epa.gov/epaoswer/hazwaste/data/biennialreport/.
1.1 Overview of Document
The File Specification Guide for 2007 Biennial Report Hazardous Waste Submissions is divided into four
sections:
Section 1 (Introduction) defines the intended audience for this guide, offers a brief description of the
forms contained in the 2007 Hazardous Waste Report, Instructions and Forms, and describes the general
purpose and outline of this document.
Section 2 (Changes from Previous Cycles) outlines the major changes to the file specifications from
previous Biennial Report cycles.
Section 3 (Data Submission Overview) describes the overall characteristics for a data submission.
Section 4 (Technical Specifications) discusses the technical details of the data files and programs
necessary for data submission.
Several appendices are included with this document. These appendices provide background material as
well as detailed technical information necessary to properly prepare file submissions.
1.2 Intended Audience
The intended audience for this guide is any State or EPA Region that is using its own software and
procedures to extract hazardous waste data from a State or Regional system for submission to EPA HQ
for inclusion in the RCRAInfo database for the 2007 Hazardous Waste Report; or any commercial
software vendor who is preparing software for use/purchase by States and Regions for preparation of
State or Regional submission of data for the 2007 Hazardous Waste Report.
(Note: States or Regions who use a data collection instrument different than the Hazardous Waste Report,
Instructions and Forms developed by EPA HQ are called translators. This guide will serve as guidance
for both translators and commercial software vendors.)
This document was written assuming the reader 1) is familiar with the 2007 Hazardous Waste Report,
Instructions and Forms and 2) understands basic computer concepts and terminology.
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1.3 Hazardous Waste Report Forms
The 2007 Hazardous Waste Report, Instructions and Forms document captures information on the
following forms:
RCRA Subtitle C Site Identification Form
The Site Identification Form collects information on the site completing the Biennial Report
forms package. The form is divided into thirteen items, twelve of which must be completed for
the Hazardous Waste Report. States and Regions submit Site ID form information via the SI1,
SI2, SB, SI4, SIS, SI6, SI7, and SI9 flat files.
Note: The SIS flat file allows implementers to include State specific activities in their Biennial
Report submission. This information is not found on the RCRA Subtitle C Site Identification
Form, but rather is implementer defined to meet the State's regulatory requirements.
Form GM
Form GM is for reporting on-site hazardous waste generation, management, and off-site
shipment. Form GM is divided into three sections that document 1) the source, characteristics,
and quantity of hazardous waste generated; 2) the quantity of hazardous waste managed on-site
along with the management method used; and 3) the quantity of hazardous waste shipped off-site
for treatment, disposal, or recycling along with the off-site management method used. States and
Regions submit GM form information via the GM1, GM2, GM3, GM4, and GM5 flat files.
Form WR
Form WR identifies hazardous wastes that were received from other hazardous waste sites and
the method(s) used to manage them. Form WR is divided into three identical parts (i.e., waste
blocks), labeled Waste 1, Waste 2, and Waste 3, that collect information on the quantities and
characteristics of each hazardous waste received from an off-site source during 2007 and
managed on-site. States and Regions submit WR form information via the WR1, WR2, and WR3
flat files.
Form OI
Form OI documents the names and addresses of off-site installations and transporters. OI
information is not loaded into the RCRAInfo database, but a file specification has been included
to facilitate data sharing.
1.4 Data Files
Information gathered from the Hazardous Waste Report is submitted to EPA HQ via a series of flat files.
Each form contains information that relates to the form in a one-to-one (1:1) relationship (e.g., Form GM,
Section 1, Block D, source code). These data elements are captured in the primary flat file for that form
(e.g., SI1, GM1, and WR1). Information that relates to the form in a many-to-one (n: 1) relationship (e.g.,
Form GM, Section 1, Block B, EPA hazardous waste codes) is captured in secondary flat files (e.g.,
GM2-GM5, WR2-WR3).
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The remainder of this document describes in detail the steps necessary to ensure a successful data
submission including identifying which sites should be reported, the types of files that must be included
with each submission, and technical aspects of the file creation process.
1.5 Questions/Comments
Questions about this document should be directed to the RCRAInfo team via the USITS utility in
RCRAInfo. Questions submitted must only concern the file specification for submission of data from the
States or EPA Regions to the RCRAInfo database. Questions on submissions of data by individual sites
should be directed to appropriate State or EPA Regional personnel.
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2.0 CHANGES FROM PREVIOUS CYCLES
2.1 Generation and Accumulation of Universal Waste
On August 5, 2005, EPA instituted the Hazardous Waste Management System; Modification of the
Hazardous Waste Program; Mercury Containing Equipment; Final Rule (70 FR 45508). As a result of
this rule, EPA made revisions to the Notification Form of Regulated Hazardous Waste Activity
Instructions and Form Booklet (Form 8700-12), which was approved by OMB on June 6, 2006
(OMB#2050-0028). These revisions included replacing lO.B.l.c Thermostats with lO.B.l.c Mercury
Containing Equipment and deleting the "Generate" and "Accumulate" check boxes and adding the
"Manage" check box to indicate the type(s) of universal wastes managed at the site. These revisions will
be effective for the 2007 BR submission. Revisions to the SI2 flat file have been made to eliminate the
following fields: Large Quantity Generator of Batteries, Large Quantity Generator of Pesticides, Large
Quantity Generator of Thermostats, and Large Quantity Generator of Lamps. Additionally, the following
fields have been renamed: Large Quantity Accumulator of Batteries is now Managed Batteries, Large
Quantity Accumulator of Pesticides is now Managed Pesticides, Large Quantity Generator of Thermostats
is now Managed Mercury Containing Equipment, and Large Quantity Accumulator of Lamps is now
Managed Lamps. Note: The elimination of the "Generated" field applies only to federally-defined
universal wastes (i.e., lamps, pesticides, mercury containing equipment, and batteries). For implementer-
defmed universal waste, the user will still be able to provide information regarding generation and/or
management.
2.2 Received Date
For cycles previous to 2007, the Received Date (RECEIVE_DATE) in HHANDLER2 was populated
with the date that the BR data was loaded into RCRAInfo by the State or Region. Beginning with the
2007 BR cycle, the Received Date will be populated with the most recent Certification Date
(CERT_SIGNED_DATE) of the submission for that handler. This revision is being made to prevent the
Biennial Report data from superceding other handler / notification activities that may occur at a facility
prior to the BR data being loaded.
2.3 Loading Data into the Production Environment
For the 2007 cycle, the State or Region will submit their data to the RCRAInfo production database using
the production CDX site. This data will reside in "staging" tables until the cycle is completed at which
time the data will be moved from the "staging" tables to the production tables. The BR load process will
NOT utilize the RCRAInfo pre-production environment as it has in the past.
2.4 Handler Name
The Handler Name in SI1 has increased from 40 characters to 80 characters. The fields following the
handler name have new starting columns to facilitate this increase.
2.5 Foreign States
The Mail State field may now be a foreign state defined in LU_FOREIGN_STATE if the Mail Country is
not blank or 'US' (see edit SI1-140 in Appendix B).
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3.0 DATA SUBMISSION OVERVIEW
3.1 Data Requirements
Data collected via the 2007 Hazardous Waste Report, Instructions and Forms may or may not be required
to be included in the Hazardous Waste Report submission. For the purposes of this document, "required"
refers to data elements that must be provided and cannot have a value of blank. The required data
elements are listed in Appendix A.
States and Regions are encouraged to provide as much data (required or not) as possible. This
information enhances the analytical usefulness of the Hazardous Waste Report data within RCRAInfo.
Specifically, non-required data elements of interest include form codes for all records contained in the
GM1 and WR1 files.
State, Regional, and commercial software packages must provide data for required data elements. Flat
files containing required data elements include:
• Form Site ID data (RCRA Subtitle C Site Identification Form):
Flat Files SI1, SI2, SI6, SI7, and SI9
• Form GM data (Waste Generation and Management):
Flat Files GM1, GM2, GM4, and GM5
• Form WR data (Waste Received from Off-site):
Flat Files WR1 and WR2
All data elements must be properly formatted and meet required data quality standards to be loaded into
RCRAInfo. The data quality standards for these elements are presented in Appendix B.
The Hazardous Waste Report data submission must also include a control file for proper loading into the
RCRAInfo database. The control file specifies each flat file to be loaded and the number of records
included in the flat file.
Appendix B also contains the flat file specifications for all files (including the control file) needed to
produce the Hazardous Waste Report data submission.
3.2 Data Submission
It is the responsibility of the State, Regional, or commercial software package to produce a complete set
of correctly formatted files of a given State for inclusion in the RCRAInfo database. The RCRAInfo
application can only accommodate submissions containing all data for a given State, that is, data for a
single site cannot be loaded into RCRAInfo.
Flat files are transferred to the EPA Unix server via the RCRA Central Data Exchange (CDX) application
in accordance with the Memorandum of Understanding between the Region and the State. The data is
transferred to the EPA in the form of Windows-compatible ZIP files. The RCRAInfo File Transfer
Process extracts the files from these zip files and stores the data in Oracle database "staging" tables for
further processing. The RCRAInfo staging process is designed to run as a background process that
continuously looks for files to process. Therefore, there is no user interaction required once the
environment is configured and the process is started.
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CDX provides an interface for submitters to upload a ZIP file from their local file location (commonly the
C:/ drive) to the CDX/RCRAInfo environments. The uploaded file must be in the form of a ZIP file and
must contain a mandatory control file that lists the names of the other files in the ZIP file. The ZIP file
must conform to PKWARE's (de facto) compression standard. The EPA has tested and approved two
compression utilities for use by submitters. They are available for download at
http: //www .epa. gov/cdx/test/zipintro .htm.
The submitter must have a valid CDX user ID and password as well as a valid RCRAInfo (production)
user ID and password. CDX user ID and passwords may be obtained at http://cdx.epa.gov or at 888-890-
1995. In addition, the Biennial Report Load Implementer of Record setting within RCRAInfo must be
appropriately set (Region or State).
3.3 Amount of Data in a Single Submission
Each data submission must contain ALL data for the State for which data is being submitted. Each data
submission will overwrite ALL existing 2007 Hazardous Waste Report data for the State in the
RCRAInfo database.
3.4 States/Regions not using the 2007Hazardous Waste Report, Instructions and Forms
The information contained in this guide is equally applicable to States and Regions who use a different
data collection package than the 2007 Hazardous Waste Report, Instructions and Forms. Translators are
required to provide data equivalent to that collected by the 2007 Hazardous Waste Report, Instructions
and Forms (required data elements). The following information is provided to help translators become
familiar with the steps to ensure a successful data submission:
• Identify all sites for which information is to be translated.
• Access information that is equivalent to the 2007Hazardous Waste Report data.
• Validate that the equivalent data conforms to the appropriate data quality standards.
• Write translated data to appropriate flat files.
• Generate a control file for the translated flat files.
3.4.1 Identify Sites
The State/Region must submit information for sites required to file the 2007 Hazardous Waste Report,
Instructions and Forms. The criterion that defines these sites is presented on page iii of the 2007
Hazardous Waste Report, Instructions and Forms under "Sites Required to File the Hazardous Waste
Report." States and Regions are not precluded from submitting information for sites not required to file
the 2007 Hazardous Waste Report, Instructions and Forms.
3.4.2 Access Equivalent Data
The required data elements for the sites being reported must be provided (see Appendix A for a complete
list of required data elements). The translator State/Region must identify in their system the data
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elements and relationships equivalent to the data elements/relationships represented by the flat file
specifications provided in Appendix B.
The Form GM, Form WR, and Form OI allow for multiple form submissions by a handler. Translator
States/Regions must also accommodate multiple "forms" by a handler as follows:
Form GM
Form GM collects data associated with a single reported waste. Translators must provide records
in the GM1 - GM5 files for each waste generated or managed during the reporting cycle. Thus,
each page number for the GM flat file records represents a single reported waste. All "GM" flat
file records containing data associated with the same waste reported for the same EPA ID will
have the same page number. Page number takes the value of "00001" for the first reported waste
(Form GM) and is incremented by one (1) with each following reported waste. (Note: The
instructions on assignment of page number for translators are different than for those
States/Regions/commercial software vendors supporting the 2007 Hazardous Waste Report,
Instructions and Forms. For vendors supporting the 2007 Hazardous Waste Report, Instructions
and Forms, page number should be the same as the number assigned by the respondent to the
actual form.)
Form WR
Form WR collects data associated with each reported waste received from off-site. Translators
must provide records in the WR1 - WR3 files for each waste received from off-site. All "WR"
flat file records containing data associated with the same received waste reported for the same
handler will have the same page number. Page number takes the value of "00001" for the first
received waste (Form WR) and is incremented by one (1) with each separate received waste
reported. The sub-page number for Form WR data must always be assigned the value of "1".
(Note: The instructions on assignment of page number and sub-page number for translators are
different than for those States/Regions/commercial software vendors supporting the 2007
Hazardous Waste Report, Instructions and Forms. For vendors supporting the 2007 Hazardous
Waste Report, Instructions and Forms, page number and sub-page number should be the same as
the number assigned by the respondent to the actual form. Sub-page number is T for the waste
reported in the "Waste 1" block of the WR form, '2' for the waste reported in the "Waste 2"
block of the WR form, and '3' for the waste reported in the "Waste 3" block of the WR form.)
Form OI
Form OI collects data identifying 1) handlers from whom waste was received and to whom waste
was shipped and 2) all transporters used to ship waste during the reporting cycle. These source,
destination, and transporting entities are identified by their EPA ID, name, and address. The page
number for the OI flat file records represents a single handler record. Page number takes the
value of "00001" for the first handler record and is incremented by one (1) with each separate
handler record reported.
3.4.3 Data Quality/Equivalency
The State/Region's translator data must provide an accurate representation of hazardous waste activity for
that State. In addition, the translator's data must pass a minimum set of data edits (see Appendix B) in
order to provide information comparable to data gathered with the 2007 Hazardous Waste Report,
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Instructions and Forms and to be properly loaded into the RCRAInfo database. Data failing to conform
to the appropriate data quality edits will result in the entire data submission to RCRAInfo being rejected.
Appendix C contains an annotated copy of the 2007 Hazardous Waste Report forms showing in which
flat file each data element is located. In addition, all codes used in the submission must conform to
acceptable data values as specified in Appendix B.
3.4.4 Write Translated Data to Flat Files
Translator States/Regions must extract data from their State/Regional system and re-produce the data in
the flat file formats outlined in Appendix B. A complete translation effort may not necessarily include all
flat files. For example, a translator submitting Form GM data is not required to include the "GM3" flat
file (State waste codes) since it is non-required data. However, the State/Region is encouraged to include
in the Hazardous Waste Report data submission all data (required and non-required) that the State/Region
currently collects.
The flat file specifications for the Hazardous Waste Report data are based on a series of parent-child
relationships. A parent file (i.e., SI1, GM1, WR1) may have one or more child relationships with other
flat files (i.e., SI2-SI9, GM2-GM5, WR2-WR3). Child records may not exist without the existence of the
parent record (e.g., a record for site XYZ cannot exist in the GM2 file if a corresponding record does not
exist in the GM1 file). Appendix E shows the parent-child relationships for all flat files comprising the
Hazardous Waste Report data submission.
Data for a site should only be included in the Hazardous Waste Report data submission after all records
for that site pass all appropriate edit checks. If a site's data is incomplete, then the site's information
must not be included in the State's Hazardous Waste Report data submission. It is not sufficient to
eliminate the data element in error and submit the remainder of the site's data.
3.4.5 Generating a Control File
The translator must include a "control" file with all Hazardous Waste Report data submissions. The
specifications for this file are included in Appendix B. The control file records contain information
describing the flat files being submitted. One control file record is created for each submitted flat file.
These records MUST be in the following order:
| SI1, SI2, SI3, SI4, SIS, SI6, SI7, SIS, SI9, GM1, GM2, GM3, GM4, GM5, WR1, WR2, WR3|
Exhibit 1. Control File Flat File Order
Note: The control file should contain information only on the flat files submitted. If a flat file is not
submitted, no information for the file should be placed in the control file. The Oil flat file
should never be included in the control file because this form is not to be submitted to the
RCRAInfo database.
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4.0 TECHNICAL SPECIFICATIONS
This section contains the standards that must be met when producing flat files for the Hazardous Waste
Report data submission. Failure to meet these specifications will result in the rejection of the flat files
and failure to load the data into the RCRAInfo database.
4.1 Include in National Report Flags
SI1, GM1, and WR1 file specifications include a field labeled INCLUDE_IN_NATIONAL_REPORT.
The purpose of this field is to allow implementers to submit additional Hazardous Waste Report data (for
purposes of data sharing) but keep that data from being included in the National Biennial Hazardous
Waste Report. The field is defined as follows: If the INCLUDE_IN_NATIONAL_REPORT flag in the
SI1 file is 'N' (No), then all the INCLUDE_IN_NATIONAL_REPORT flags for the site must also equal
'N' (No) else the submission will be in error. If the INCLUDE_IN_NATIONAL_REPORT flag in the SI1
file is 'Y' (Yes), implementers may set the flag in the GM1 and WR1 file as either Y' (Yes) or 'N' (No) to
indicate whether that particular waste should be included in the National Biennial Hazardous Waste
Report. It is anticipated that many implementers will default the value for these flags to Y' (Yes) in all
cases, however the specific implementation of how these flags are populated is determined by the
implementer.
4.2 State Generator Status
Implementers are required to furnish both the State specific generator status and the Federal generator
status for each site in their submission. Appropriate fields are included in the SI1 file specification for
this purpose. It is anticipated that many States whose regulations closely match the federal regulations,
either by reference or by inclusion, will choose for the values of these fields to be the same. The method
to populate these fields is determined by the implementer, however both fields must be provided or the
submission will be rejected.
4.3 Rules and Format Conventions Required for Data Flat Files
The following sections detail the correct field formats for the data in the flat files.
4.3.1 Alphanumeric Fields
Alphanumeric fields are identified in Appendix B as Data Type "A" fields. Data Type "A" fields must be
left-justified with all trailing spaces filled with the space character (i.e., ASCII HEX 0x20 or ASCII
Decimal 32).
Valid characters for alphanumeric fields are limited to:
~ ! # $ % A *()_ + '- \ = :;?,./' " @ & [ ] | 1234567890ABCDEFGHIJKLMNOPQRSTUVWXYZ
Invalid characters for alphanumeric fields include:
+/<>%&;
If the "<" or ">" symbols are used to indicate less than or greater than, it is recommended that these
symbols be replaced with "LT" or "GT".
As part of the RCRAInfo load routines, all lowercase letters (a-z) will be converted to uppercase
characters (A-Z). Lowercase letters will not cause a submission to be rejected, however the lowercase
letters will be converted to uppercase characters.
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4.3.2 Integer Fields
Integer fields are identified in Appendix B as Data Type "I" fields.
Allowed values for integer fields are numbers 0-9 and the space character (ASCII Hex 0x20 or ASCII
Decimal 32).
Examples of incorrect and correct entries for an integer field defined with a length of five (5) are
presented in Exhibit 2 below.
INCORRECT
1A
10,000
750.25
CORRECT
1
10000
750
Exhibit 2. Incorrect and Correct Integer Entries
4.3.3 Fixed Decimal Fields
Fixed place decimal fields are identified in Appendix B as Data Type "D" fields.
For all "D" field entries, the flat file specifications indicate the number of digits that the data element is
allowed before the decimal and after the decimal. For example, D11.6 indicates that the number may
have up to 11 digits before the decimal and 6 digits after the decimal (99999999999.999999). The field
length includes the decimal character.
Allowed values for fixed decimal fields are numbers 0-9, the decimal character ".", and the space
character (ASCII Hex 0x20 or ASCII Decimal 32).
Although some data blocks on the 2007 Hazardous Waste Report, Instructions and Forms provide for
only one decimal place, the translator flat files may allow additional decimal places to be represented in
"D" fields. Exhibit 3 shows incorrect and correct entries in a type "D5.2" field.
INCORRECT
10,032.1
10,032A
CORRECT
10032.10
10032
Exhibit 3. Incorrect and Correct Fixed Decimal Entries
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4.3.4 Sequence Number Fields
Some of the files in Appendix B require a sequence number to be provided for each record. The SI6 file,
for example, requires a sequence number (NAICS_SEQ) for the NAICS codes. The sequence number is
needed for data elements, such as the NAICS code, which may have more than one value. The sequence
number should be assigned the value "1" for the first occurrence of the sequenced data element for the
EPA ID and should then be incremented by one with each successive occurrence of that same EPA ID.
4.3.5 Negative Numbers
Negative numbers are not allowed in the data submission.
4.4 Indicating Don't Know (DK) and Not Applicable (NA)
The 2007 Hazardous Waste Report, Instructions and Forms document does not allow the use of "Don't
Know" (DK) or "Not Applicable" (NA). Flat files cannot contain any values indicating "Don't Know" or
"Not Applicable."
4.5 Record Termination
Each flat file record must be terminated by a line feed character (ASCII Hex OxOA or ASCII Decimal
010), or a carriage return character (ASCII Hex OxOD or ASCII Decimal 013) followed by a line feed
character.
4.6 Empty Fields
For fields that require no response, the field should be filled with the space character (i.e., blanks).
4.7 Flat File Hierarchy
Appendix E shows the flat file hierarchy for the Hazardous Waste Report data submission. Files
connected by lines have a parent-child relationship. The file identified at the left terminus of a line is the
parent. The file identified at the right terminus of a line is the child. Each record with a unique EPA ID
in a child flat file must have at least one corresponding record in the parent flat file. When a parent flat
file distinguishes records using more than one key, it is the combination of the keys that identifies
uniqueness. For example, the "GM" series flat files use two keys (Handler ID and GM Page Number) to
identify each "waste" being reported for a site. Thus, for each unique occurrence of the combined keys
(Handler ID and GM Page Number) in the GM2 flat file, there must be a corresponding record in the
GM1 file with the same values for the entire key.
4.8 Confidential Business Information (CBI)
Under existing RCRA statutes, sites may claim that certain items of information submitted as part of their
Hazardous Waste Report contain Confidential Business Information (CBI). The procedures for handling
CBI can be found in Procedures for Handling RCRA Confidential Business Information (available from
the EPA HQ RCRA Document Control Officer). A subset of these procedures is documented in
Procedures for Handling RCRA Confidential Business Information Submitted for the Biennial Report.
(Copies of these documents can be requested using the USITS utility in RCRAInfo). In brief, it is not
allowable to mingle CBI data with non-CBI data. In addition, CBI data must be handled on a secure
computer (either a computer that is kept in a secure environment or a computer that uses removable media
August 2007 11 File Specification Guide
-------
where the media is kept in a secure environment). CBI data must be submitted separately from non-CBI
data using data handling methods outlined in the Procedures for Handling RCRA Confidential Business
Information documentation.
In previous Biennial Report cycles, some States/Regions that have received CBI have masked the CBI
data (in other words, changed the CBI data so it no longer is CBI). This practice is not a requirement of
EPA HQ, but as long as the masking is acceptable to the site and the implementer, and the data meets the
minimum edit standards as detailed in the appendices, this solution is acceptable.
August 2007 12 File Specification Guide
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APPENDIX A
Required Data Elements
-------
APPENDIX A - Required Data Elements
For the purposes of this document, "required" refers to data elements that must be provided that cannot
have a value of blank.
REQUIRED FIELDS FOR FLAT FILE SI1
FIELD NAME
HANDLERJD
SUBMITTAL_REASON
NAME
LOCATION_STREET1
LOCATION_CITY
COUNTY_NAME
LOCATION_STATE
LOCATION_ZIP
MAIL_STREET1
MAIL_CITY
MAIL_STATE*
MAIL_ZIP
LAND_TYPE
CONTACT_FIRST_NAME
CONTACT_LAST_NAME
CONTACT_PHONE
STATE_GENERATOR_STATUS
GENERATOR_ACTIVITY
IMPORTER_ACTIVITY
MIXED_WASTE_GENERATOR
TRANSPORTER_ACTIVITY
TSD_ACTIVITY
RECYCLER_ACTIVITY
HWFUEL_ONSITE_BURNER_EXEMPT
DESCRIPTION
EPA Identification Number
Reason for Submittal
Name
Location Street 1
Location City
County Name
Location State
Location Zip Code
Mailing Street 1
Mailing City
Mailing State
Mailing Zip Code
Site Land Type
Contact First Name
Contact Last Name
Contact Phone Number
State Specific Generator Status
Generator Activity
U.S. Importer of Hazardous Waste
Mixed Waste (hazardous and radioactive)
Generator
Transporter of Hazardous Waste
Treater, Storer, or Disposer of Hazardous
Waste
Recycler of Hazardous Waste
Small Quantity On-Site Burner Exemption
FORM
LOCATION
SI-2
SI-1
SI-3
SI-4
SI-4
SI-4
SI-4
SI-4
SI-7
SI-7
SI-7
SI-7
SI-5
SI-8
SI-8
SI-8
SI-10-A-1
SI-10-A-1
SI-10-A-1
SI-10-A-2
SI-10-A-3
SI-10-A-4
SI-10-A-5
August 2007
A-1
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FIELD NAME
HWFUEL_FURNACE_EXEMPT
UNDERGROUND_INJECTION_ACTIVITY
INCLUDE_IN_NATIONAL_REPORT
DESCRIPTION
Smelting, Melting, Refining Furnace
Exemption
Underground Injection Control
Include this Information in the National
Hazardous Waste Report
FORM
LOCATION
SI-10-A-5
SI-10-A-6
* Required if MAIL_COUNTRY is blank or MAIL_COUNTRY = 'UNITED STATES'.
REQUIRED FIELDS FOR FLAT FILE SI2
FIELD NAME
HANDLERJD
MAN_BATTERIES
MAN_PESTICIDES
MAN_MERCURY_EQUIP
MAN_LAMPS
UNIVERSAL_WASTE_DEST_FACILITY
USED_OIL_TRANSPORTER
USED_OIL_TRANSFER_FACILITY
USED_OIL_PROCESSOR
USED_OIL_REFINER
USED_OIL_BURNER
USED_OIL_MARKET_BURNER
USED_OIL_SPEC_MARKETER
DESCRIPTION
EPA Identification Number
Managed Batteries
Managed Pesticides
Managed Mercury Containing Equipment
Managed Lamps
Destination Facility for Universal Waste
Used Oil Transporter
Used Oil Transfer Facility
Used Oil Processor
Used Oil Refiner
Off-Specification Used Oil Burner
Used Oil Fuel Marketer Who Directs
Shipment of Off-Specification Used Oil to
Off-Specification Used Oil Burner
Used Oil Fuel Marketer Who First Claims
the Used Oil Meets the Specifications
FORM
LOCATION
SI-2
SI-10-B-1-A
SI-10-B-1-B
SI-10-B -1-C
SI-10-B-1-D
SI-10-B-2
SI-10-C-1-A
SI-10-C-1-B
SI-10-C-2-A
SI-10-C-2-B
SI-10-C-3
SI-10-C-4-A
SI-10-C-4-B
August 2007
A-2
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REQUIRED FIELDS FOR FLAT FILE SI6
FIELD NAME
HANDLERJD
NAICS_SEQ
NAICS_CODE
DESCRIPTION
EPA Identification Number
NAICS Sequence Number
North American Industry Classification System
Code
FORM
LOCATION
SI-2
SI-6
REQUIRED FIELDS FOR FLAT FILE SI7
FIELD NAME
HANDLERJD
CERT_SEQ
CERT_FIRST_NAME
CERT_LAST_NAME
CERT_TITLE
CERT_SIGNED_DATE
DESCRIPTION
EPA Identification Number
Certification Sequence Number
Certification First Name
Certification Last Name
Certification Title
Date Certification Was Signed
FORM
LOCATION
SI-2
SI- 13
SI-13
SI- 13
SI-13
REQUIRED FIELDS FOR FLAT FILE SI9
NOTE: INFORMATION MUST BE PROVIDED FOR BOTH CURRENT OWNER AND CURRENT OPERATOR
FIELD NAME
HANDLERJD
OWNERJ3PERATORJSEQJSK)
OWNERJ3PERATORJNDICATOR
OWNER J3PERATORJSTAME
OWNERJ3PERATORJ)ATE
OWNERJ3PERATOR_TYPE
DESCRIPTION
EPA Identification Number
Owner/Operator Sequence Number
Owner/Operator Indicator
Site's Legal Owner/Operator
Date Became Owner/Operator
Owner/Operator Type
FORM
LOCATION
SI-2
SI-9-A, SI-9-B
SI-9-A, SI-9-B
SI-9-A, SI-9-B
August 2007
A-3
File Specification Guide
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REQUIRED FIELDS FOR FLAT FILE GM1
FIELD NAME
HANDLERJD
HZ_PG
UNIT_OF_MEASURE
WST_DENSITY*
DENSITY JJNIT_OF_MEASURE*
ORIGIN JVIANAGEMENT_METHOD**
SOURCE_CODE
GEN_QTY
INCLUDE_IN_NATIONAL_REPORT
ON_SITE_MANAGEMENT
OFF_SITE_SHIPMENT
DESCRIPTION
EPA Identification Number
Page Number
Unit of Measure
Density
Density Unit of Measure
Origin management method for source code
G25
Source Code
Quantity Generated in Reporting Year
Include Information in the National Hazardous
Waste Report
Was any of this waste managed on-site during
2007
Was any of this waste shipped off-site in 2007
for treatment, disposal, or recycling
FORM
LOCATION
SI-2
GM-l-G
GM-l-G
GM-l-G
GM-l-D
GM-l-D
GM-l-F
GM-2
GM-3-A
* Required only if the unit of measure = 5 (gallons), 6 (liters), or 7 (cubic yards).
** Required only if the source code is G25.
REQUIRED FIELDS FOR FLAT FILE GM2 OR GM3"
FIELD NAME
HANDLERJD
HZ_PG
WASTE_CODE
DESCRIPTION
EPA Identification Number
Page Number
EPA/State Hazardous Waste Code
FORM LOCATION
SI-2
GM-l-B / GM-l-C
* For each waste stream, either EPA Hazardous Waste Code information must be provided (GM2) or State
Hazardous Waste Code information must be provided (GM3).
August 2007
A-4
File Specification Guide
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REQUIRED FIELDS FOR FLAT FILE GM4*
FIELD NAME
HANDLERJD
HZ_PG
IO_PG_NUM_SEQ
IO_TDR_ID
IO_TDR_QTY
DESCRIPTION
EPA Identification Number
Page Number
Off-site Sequence Number
EPA ID Number of the Off-Site Facility
Shipped To
Total Quantity Shipped to EPA ID in Current
Reporting Year
FORM
LOCATION
SI-2
GM-3 Site*
Block
GM-3-B
GM-3-D
* If the off-site shipment indicator in GM1 is equal to 'Y' then Off-site Shipment information (GM4) must be
provided.
REQUIRED FIELDS FOR FLAT FILE GM5*
FIELD NAME
HANDLERJD
HZ_PG
SYS_PG_NUM_SEQ
MANAGEMENT_METHOD
SYS_TDR_QTY
DESCRIPTION
EPA Identification Number
Page Number
On-Site Sequence Number
On-Site Management Method
Quantity Treated, Disposed, or Recycled On-
site in Current Reporting Year
FORM
LOCATION
SI-2
GM-2 System*
Block
GM-2
GM-2
*If the on-site management indicator in GM1 is equal to 'Y' then On-Site Management information (GM5) must be
provided.
August 2007
A-5
File Specification Guide
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REQUIRED FIELDS FOR FLAT FILE WR1
FIELD NAME
HANDLERJD
HZ_PG
SUB_PG_NUM
UNIT_OF_MEASURE
WST_DENSITY*
DENSITY JJNIT_OF_MEASURE*
MANAGEMENT_METHOD
IO_TDR_ID
IO_TDR_QTY
INCLUDE_IN_NATIONAL_REPORT
DESCRIPTION
EPA Identification Number
Page Number
Waste Number
Unit of Measure
Density
Density Unit of Measure
Management Method
Off-site Source EPA ID Number
Quantity Received in Current Reporting Year
Include Information in the National Hazardous
Waste Report
FORM
LOCATION
SI-2
WR-F
WR-F
WR-F
WR-H
WR-D
WR-E
* Required only if the unit of measure = 5 (gallons), 6 (liters), or 7 (cubic yards).
REQUIRED FIELDS FOR FLAT FILE WR2 OR WR3*
FIELD NAME
HANDLERJD
HZ_PG
SUB_PG_NUM
WASTE_CODE
DESCRIPTION
EPA Identification Number
Page Number
Waste Number
EPA/State Hazardous Waste Code
FORM
LOCATION
SI-2
WR-B / WR-C
* For each waste stream, either EPA Hazardous Waste Code information must be provided (WR2) or State
Hazardous Waste Code information must be provided (WR3).
August 2007
A-6
File Specification Guide
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APPENDIX B
Flat File Specifications and Data Edits
-------
APPENDIX B - Flat File Specifications and Data Edits
B.I Key For Flat File Tables
Data Type
A Alphanumeric
I Integer
D Fixed Decimal
B.2 Flat File Naming Convention
Flat files names are constructed in the following manner:
SSFFFNNN.FIL
Where:
SS = State Postal Code
FFF = Flat file identifier (for example, GM1 or GM2)
NNN = Julian Date when file was created
Files must be named using all uppercase characters.
Note: The three-character file ID distinguishes each flat file produced during the translation. For
example, the correct name for the SB file, containing VA data, produced on January 4th, is
VASI3004.FIL.
August 2007 B-1 File Specification Guide
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B.3 Flat Files Specifications and Data Edits
All data submitted must meet the appropriate data assessment edits. The data assessment edits for non-required data elements apply only if
the data is provided. For child table records, data assessment edits apply only if the record is being submitted.
Generic Data Edit Specifications
Edit
Number
GN-000
GN-010
GN-020
Form Location
All
All
All
Edit Description
A non-valid character was found in a character field.
Alphabetic character found in numeric field.
Duplicate records found in file submission.
Select Logic
CHARACTER = allowed value as specified in
Section 4. 3.1
NUMERIC_DIGIT = allowed value as specified
in Section 4.3.2 or Section 4.3.3
Combination of key fields for specific file must
be unique
August 2007
B-2
File Specification Guide
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FLAT FILE ID# - CTL
Source Form: NA Description: Name and statistical information for each flat file being submitted
This file is used to describe the flat files being submitted electronically. There must be one record in the control file for each flat file being submitted.
Each CTL record contains a flat file name (field 1), the date the flat file was created in "CCYYMMDD" format (field 2), and the number of records
(lines) in the flat file (field 3).
When creating the Control File, first list records SI1-SI9, followed by GM1-GM5, followed by WR1-WR3. The control file must never contain entries
for file OIL Only create control records for files that contain one or more records.
File name must be in uppercase characters in the following format: SSCTLNNN.FIL where SS = State Postal Code and NNN = Julian Date when file
was created.
Field
Number
1
2
3
4
Starting
Column
1
13
21
29
Total Record Length:
Field
Length
12
8
8
4
32
Data
Type
A
I
I
I
Description
File Name
Date Created
(Format = CCYYMMDD)
Record Count
BR Reporting Cycle Year (2007)
Edit Number
CTL-000, CTL-010,
CTL-020, CTL-030
CTL-040
CTL-050
CTL-060
August 2007
B-3
File Specification Guide
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CTL Flat File Edit Specifications
Edit
Number
CTL-000
CTL-010
CTL-020
CTL-030
CTL-040
CTL-050
CTL-060
Form Location
Control File
Control File
Control File
Control File
Control File
Control File
Control File
Edit Description
The first two characters of the file name must be a valid state
postal code (see Appendix E).
Flat files specified must be for the state for which data is being
submitted.
Characters 3-5 of the file name must be a valid flat file identifier
(SI1, SI2, SI3, SI4, SI5, SI6, SI7, SIS, SI9, GM1, GM2, GM3,
GM4, GM5, WR1, WR2, WR3).
Characters 6-8 must be greater than zero and less than or equal to
366.
The date created must be a valid date greater than 19000101
(January 1, 1900).
The record count must be greater than zero and less than or equal
to 99,999,999.
The report cycle must be '2007'.
Select Logic
SUBSTR(FILE_NAME,1,2) = valid state postal code (see
Appendix E).
SUBSTR(FILE_NAME,1,2) = state postal code of submission
SUBSTR(FILE NAME,3,3) = SI1 or SI2 or SI3 or SI4 or 815 or
SI6 or SI7 or SIS or SI9 or GM1 or GM2 or GM3 or GM4 or GM5
or WR1 or WR2 or WR3
SUBSTR(FILE_NAME,6,3) > 0 AND <= 366
DATE_CREATED = valid date
RECORD_COUNT > 0 AND <= 99999999
REPORT_CYCLE = '2007'
August 2007
B-4
File Specification Guide
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FLAT FILE ID# - SI1
Source Form: Site ID Description: Handler Identification, Address, and Hazardous Waste Activities Information
This file must contain one and only one record for each Handler ID reporting. Also, any Handler ID appearing as the key in ANY of the "GM", "WR", or "OF files must also
be present in this file.
Key Fields: Handler ID Number (HANDLER_ID). Each record in the SI1 file must contain a unique Handler ID Number.
Note: The SI1 file is REQ UIRED. One record must be provided for each handler.
Field
No.
1
2
3
4
5
6
7
8
9
10
11
12
Field Name
HANDLERJD
SUBMITTAL_REASON
NAME
LOCATION_STREET_NO
LOCATION_STREET1
LOCATION_STREET2
LOCATION_CITY
COUNTY_NAME
LOCATION_STATE
LOCATION_ZIP
MAIL_STREET_NO
MAIL_STREET1
Starting
Column
1
13
14
94
106
136
166
191
216
218
232
244
Field
Length
12
1
80
12
30
30
25
25
2
14
12
30
Data
Type
A
A
A
A
A
A
A
A
A
A
A
A
Description
EPA Identification Number
Reason for Submittal
(As a component of the Hazardous Waste Report = 'R', As a
component of the Hazardous Waste Report AND any other
reason for submittal = 'B')
Name
Location Street Number
Location Street 1
Location Street 2
Location City
County Name
Location State
Location Zip Code
Mailing Street Number
Mailing Street 1
Location
on Form
SI-2
SI-1
SI-3
SI-4
SI-4
SI-4
SI-4
SI-4
SI-4
SI-4
SI-7
SI-7
Edit
Number
SI 1-000,
SI1-010
SI1-010,
SI 1-020
SI1-030
SI1-040
SI1-050
SI 1-060
SI 1-070,
SI1-100
SI1-080,
SI 1-090
SI1-110
August 2007
B-5
File Specification Guide
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FLAT FILE ID# - SI1
Source Form: Site ID Description: Handler Identification, Address, and Hazardous Waste Activities Information
This file must contain one and only one record for each Handler ID reporting. Also, any Handler ID appearing as the key in ANY of the "GM", "WR", or "OF files must also
be present in this file.
Key Fields: Handler ID Number (HANDLER ID). Each record in the SI 1 file must contain a unique Handler ID Number.
Note: The SI1 file is REQ UIRED. One record must be provided for each handler.
Field
No.
13
14
15
16
17
18
19
20
21
22
23
24
Field Name
MAIL_STREET2
MAIL_CITY
MAIL_STATE
MAIL_COUNTRY
MAIL_ZIP
LAND_TYPE
CONTACT_FIRST_NAME
CONTACT_MIDDLE_INITIAL
CONTACT_LAST_NAME
CONTACT_PHONE
CONTACT_PHONE_EXT
STATE_GENERATOR_STATUS
Starting
Column
274
304
329
331
381
395
396
411
412
427
437
443
Field
Length
30
25
2
50
14
1
15
1
15
10
6
1
Data
Type
A
A
A
A
A
A
A
A
A
A
A
A
Description
Mailing Street 2
Mailing City
Mailing State
Mailing Country Name
Mailing Zip Code
Site Land Type
(Private = 'P', County = 'C, District = T>', Federal = T", Indian
= T, Municipal = 'M', State = 'S', Other = 'O', Unchecked = ' ')
Contact First Name
Contact Middle Initial
Contact Last Name
Contact Phone Number
Contact Phone Number Extension
State Specific Generator Status
Location
on Form
SI-7
SI-7
SI-7
SI-7
SI-7
SI-5
SI-8
SI-8
SI-8
SI-8
SI-8
SI-10-A-1
Edit
Number
SI1-120
SI1-130,
SI1-140
SI1-130,
SI1-140,
SI1-170
SI1-150,
SI1-160
SI 1-270
SI1-190
SI1-180
SI 1-200
SI1-240
August 2007
B-6
File Specification Guide
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FLAT FILE ID# - SI1
Source Form: Site ID Description: Handler Identification, Address, and Hazardous Waste Activities Information
This file must contain one and only one record for each Handler ID reporting. Also, any Handler ID appearing as the key in ANY of the "GM", "WR", or "OF files must also
be present in this file.
Key Fields: Handler ID Number (HANDLER ID). Each record in the SI 1 file must contain a unique Handler ID Number.
Note: The SI1 file is REQ UIRED. One record must be provided for each handler.
Field
No.
25
26
27
28
29
30
31
32
33
34
Field Name
GENERATOR_ACTIVITY
IMPORTER_ACTIVITY
MIXED_WASTE_GENERATOR
TRANSPORTER_ACTIVITY
TSD_ACTIVITY
RECYCLER_ACTIVITY
HWFUEL_ONSITE_BURNER_EXEMPT
HWFUEL_FURNACE_EXEMPT
UNDERGROUND_INJECTION_ACTIVITY
INCLUDE_IN_NATIONAL_REPORT
Starting
Column
444
445
446
447
448
449
450
451
452
453
Field
Length
1
1
1
1
1
1
1
1
1
1
Data
Type
A
A
A
A
A
A
A
A
A
A
Description
Generator Activity
(LQG = T, SQG = '2', CESQG = '3', Not a generator = 'N')
U.S. Importer of Hazardous Waste
(Yes = '¥', No = 'N')
Mixed Waste (hazardous and radioactive) Generator
(Yes = '¥', No = 'N')
Transporter of Hazardous Waste
(Yes = '¥', No = 'N')
Treater, Storer, or Disposer of Hazardous Waste
(Yes = '¥', No = 'N')
Recycler of Hazardous Waste
(Yes = '¥', No = 'N')
Small Quantity On-Site Burner Exemption
(Yes = '¥', No = 'N')
Smelting, Melting, Refining Furnace Exemption
(Yes = '¥', No = 'N')
Underground Injection Control
(Yes = '¥', No = 'N')
Include this Information in the National Hazardous Waste
Report (Yes = '¥', No = 'N')
Location
on Form
SI-10-A-1
SI-10-A-1
SI-10-A-1
SI-10-A-2
SI-10-A-3
SI-10-A-4
SI-10-A-5
SI-10-A-5
SI-10-A-6
Edit
Number
SI 1-250
SI 1-280
SI 1-290
SI1-300
SI 1-260
SI1-310
SI1-320
SI1-330
SI1-340
SI1-350
August 2007
B-7
File Specification Guide
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FLAT FILE ID# - SI1
Source Form: Site ID Description: Handler Identification, Address, and Hazardous Waste Activities Information
This file must contain one and only one record for each Handler ID reporting. Also, any Handler ID appearing as the key in ANY of the "GM", "WR", or "OF files must also
be present in this file.
Key Fields: Handler ID Number (HANDLER ID). Each record in the SI 1 file must contain a unique Handler ID Number.
Note: The SI1 file is REQ UIRED. One record must be provided for each handler.
Field
No.
35
36
37
Field Name
NOTES
CONTACT_EMAIL
STATE_DISTRICT
Starting
Column
454
694
934
Total Record Length:
Field
Length
240
240
10
943
Data
Type
A
A
A
Description
Comments/Notes
Contact E-Mail Address
State District
Location
on Form
SI-12
Edit
Number
August 2007
B-8
File Specification Guide
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SI1 Flat File Edit Specifications
Edit
Number
SI 1-000
SI 1-0 10
SI 1-020
SI1-030
SI 1-040
SI 1-050
SI 1-060
SI 1-070
SI 1-080
SI 1-090
SI1-100
SI1-110
SI1-120
SI1-130
Form Location
SI-2
SI-1 / SI-2
SI-1
SI-3
SI-4
SI-4
SI-4
SI-4
SI-4
SI-7
SI-4
SI-7
SI-7
SI-7
Edit Description
The first two characters of the EPA ID must match the state code
for which data is being submitted.
If the reason for submittal is for the Hazardous Waste Report, the
EPA ID must already exist in RCRAInfo.
The reason for submittal must be 'R' or 'B'.
Handler name must be provided.
Location street must be provided.
Location city, town, or village must be provided.
Location county name must be a valid value.
Location state must be a valid postal state (see Appendix E)
Location zip code must be provided.
Location zip code must contain only the characters 0, 1, 2, 3, 4, 5,
6, 7, 8, 9, or blank.
If the first two characters of Handler ID equal 'NN' then Location
Status must be a valid state postal code.
If the first two characters of Handler ID do not equal 'NN' then
Location State must equal the first two characters of the Handler
ID.
Mailing street must be provided.
Mailing city, town, or village must be provided.
If the mailing address is in the United States then the mailing
state must be a valid postal state (see Appendix E).
Select Logic
SUBSTR(HANDLER_ID,1,2) = state postal code of submission
IF SUBMITTAL REASON = 'R' THEN HANDLER ID in
HBASIC
SUBMITTAL_REASON = 'R' or 'B'
HANDLER_NAME <> ' '
LOCATION_STREET_1 <> ' '
LOCATION_CITY <> ' '
COUNTY_NAME = county name provided in LU_COUNTY
LOCATION_STATE = value specified in Appendix E.
LOCATION_ZIP o ' '
LOCATION_ZIP characters = '0', T, '2', '3', '4', '5', '6', 7', '8', '9', ' '
IF SUBSTR(HANDLER_ID,1,2) = 'NN' Then
LOCATION_STATE = value specified in Appendix E.
If SUBSTR(HANDLER ID, 1,2) <> 'NN' Then
LOCATION_STATE = SUBSTR(HANDLER_ID,1,2)
MAIL_STREET1 <> ' '
MAIL_CITY <> ' '
IfMAIL_COUNTRY= ' ' OR MAIL_COUNTRY = 'UNITED
STATES' Then MAIL_STATE = value specified in Appendix E.
August 2007
B-9
File Specification Guide
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SI1 Flat File Edit Specifications
Edit
Number
SI1-140
SI1-150
SI1-160
SI1-170
SI1-180
SI1-190
SI 1-200
SI 1-240
SI 1-250
SI 1-260
SI 1-270
SI 1-280
SI 1-290
SI1-300
SI1-310
SI1-320
Form Location
SI-7
SI-7
SI-7
SI-7
SI-8
SI-8
SI-9
SI-10-A-1
SI-10-A-1
SI-10-A-3
SI-5
SI-10-A-1
SI-10-A-1
SI-10-A-2
SI-10-A-4
SI-10-A-5
Edit Description
If mailing country is not equal to blank or 'US' then mailing state
must equal a valid nationally -defined value in
LU_FOREIGN_STATE or blank.
Mailing zip code must be provided.
Mailing zip code must contain only the characters 0, 1, 2, 3, 4, 5,
6, 7, 8, 9, or blank.
Mailing country name must be a valid value. If the mailing
country is blank, a value of UNITED STATES will be assumed.
Contact last name must be provided.
Contact first name must be provided.
Contact phone number must be provided.
State generator status must be registered with the RCRAInfo
database.
Generator of hazardous waste indicator must equal T, '2', '3', or
'N'.
Treater, Storer, or Disposer indicator must equal 'Y' or 'N'.
Site land type must equal 'P', 'C, T>', T", T, 'M', 'S', or 'O'.
Importer of hazardous waste indicator must equal 'Y' or 'N'.
Mixed waste generator indicator must equal Y' or 'N'.
Transporter indicator must equal Y' or 'N'.
Recycler indicator must equal Y' or 'N'.
Small quantity on-site burner exemption indicator must equal 'Y'
or 'N'.
Select Logic
If MAIL COUNTRY <>" or 'US' Then MAIL STATE = valid
state code in LU_FOREIGN_STATE or ' '
MAIL_ZIP <> ' '
MAIL_ZIP characters = '0', T, '2', '3', '4', '5', '&, T, '8', '9', ' '
MAIL_COUNTRY = country name provided in LU_COUNTRY
CONTACT_LAST_NAME <> ' '
CONTACT_FIRST_NAME <> ' '
CONTACT_PHONE <> ' '
STATE GENERATOR STATUS = implementer defined value in
LU_GENERATOR_STATUS2
GENERATOR_ACTIVITY = T or '2' or '3' or 'N'
TSD_ACTIVITY = Y' or 'N'
LAND_TYPE = 'P' or 'C' or T)' or T' or T or 'M' or 'S' or 'O'
IMPORTER_ACTIVITY = Y' or 'N'
MIXED_WASTE_GENERATOR = Y' or 'N'
TRANSPORTER_ACTIVITY = Y' or 'N'
RECYCLER_ACTIVITY = Y' or 'N'
HWFUEL_ONSITE_BURNER_EXEMPT = Y' or 'N'
August 2007
B-10
File Specification Guide
-------
SI1 Flat File Edit Specifications
Edit
Number
SI1-330
SI1-340
SI1-350
Form Location
SI-10-A-5
SI-10-A-6
Edit Description
Smelting, melting, refining furnace exemption indicator must
equal 'Y' or 'N'.
Underground injection control indicator must equal 'Y' or 'N'.
Include in national report flag must equal 'Y' or 'N'.
Select Logic
HWFUEL_FURNACE_EXEMPT = 'Y' or 'N'
UNDERGROUND_INJECTION_ACTIVITY = 'Y' or 'N'
INCLUDE_IN_NATIONAL_REPORT = 'Y' or 'N'
August 2007
B-11
File Specification Guide
-------
FLAT FILE ID# - SI2
Source Form: Site ID Description: Handler Universal Waste and Used Oil Activities
This file captures the information contained in Section 10, Block B, Questions 1A - ID of the Site ID form. This file should contain one and only one record for each Handler ID
reporting.
Key Fields: Handler ID Number (HANDLER_ID). Each record in the SI2 file must contain a unique Handler ID Number.
Note: The SI2file is REQUIRED. One record must be provided for each handler.
Field
No.
1
3
5
7
9
10
Field Name
HANDLERJD
***OBSOLETE FIELD***
MAN_BATTERIES
***OBSOLETE FIELD***
MAN_PESTICIDES
***OBSOLETE FIELD***
MAN_MERCURY_EQUIP
***OBSOLETE FIELD***
MAN_LAMPS
UNIVERSAL_WASTE_DEST_FACILITY
Starting
Column
1
13
14
15
16
17
18
19
20
21
Field
Length
12
1
1
1
1
1
1
1
1
1
Data Type
A
A
A
A
A
A
A
A
A
A
Description
EPA Identification Number
Obsolete Field - must leave blank (formerly Large Quantity
Generator of Batteries)
Managed Batteries
(Yes = 'Y', No = 'N')
Obsolete Field - must leave blank (formerly Large Quantity
Generator of Pesticides)
Managed Pesticides
(Yes = 'Y', No = 'N')
Obsolete Field - must leave blank (formerly Large Quantity
Generator of Thermostats)
Managed Mercury Containing Equipment
(Yes = 'Y', No = 'N')
Obsolete Field - must leave blank (formerly Large Quantity
Generator of Lamps)
Managed Lamps
(Yes = 'Y', No = 'N')
Destination Facility for Universal Waste
(Yes = 'Y', No = 'N')
Location on
Form
SI-2
SI-10-B-1-A
SI-10-B-1-B
SI-10-B-1-C
SI-10-B-1-D
SI-10-B-2
Edit
Number
SI2-010
SI2-020
SI2-030
SI2-040
SI2-050
SI2-060
August 2007
B-12
File Specification Guide
-------
FLAT FILE ID# - SI2
Source Form: Site ID Description: Handler Universal Waste and Used Oil Activities
This file captures the information contained in Section 10, Block B, Questions 1A - ID of the Site ID form. This file should contain one and only one record for each Handler ID
reporting.
Key Fields: Handler ID Number (HANDLER ID). Each record in the SI2 file must contain a unique Handler ID Number.
Note: The SI2file is REQUIRED. One record must be provided for each handler.
Field
No.
11
12
13
14
15
16
17
Field Name
USED_OIL_TRANSPORTER
USED_OIL_TRANSFER_FACILITY
USED_OIL_PROCESSOR
USED_OIL_REFINER
USED_OIL_BURNER
USED_OIL_MARKET_BURNER
USED_OIL_SPEC_MARKETER
Starting
Column
22
23
24
25
26
27
28
Total Record Length:
Field
Length
1
1
1
1
1
1
1
28
Data Type
A
A
A
A
A
A
A
Description
Used Oil Transporter
(Yes = 'Y', No = 'N')
Used Oil Transfer Facility
(Yes = 'Y', No = 'N')
Used Oil Processor
(Yes = 'Y', No = 'N')
Used Oil Re-refiner
(Yes = 'Y', No = 'N')
Off-Specification Used Oil Burner
(Yes = 'Y', No = 'N')
Used Oil Fuel Marketer Who Directs Shipment of Off-
Specification Used Oil to Off-Specification Used Oil Burner
(Yes = 'Y', No = 'N')
Used Oil Fuel Marketer Who First Claims the Used Oil Meets
the Specifications
(Yes = 'Y', No = 'N')
Location on
Form
SI-10-C-1-A
SI-10-C-1-B
SI-10-C-2-A
SI-10-C-2-B
SI-10-C-3
SI-10-C-4-A
SI-10-C-4-B
Edit
Number
SI2-070
SI2-080
SI2-090
SI2-100
SI2-110
SI2-120
SI2-130
August 2007
B-13
File Specification Guide
-------
SI2 Flat File Edit Specifications
Edit
Number
SI2-010
SI2-020
SI2-030
SI2-040
SI2-050
SI2-060
SI2-070
SI2-080
SI2-090
SI2-100
SI2-110
SI2-120
SI2-130
Form Location
SI-2
SI-10-B-1-A
SI-10-B-1-B
SI-10-B-1-C
SI-10-B-1-D
SI-10-B-2
SI-10-C-1-A
SI-10-C-1-B
SI-10-C-2-A
SI-10-C-2-B
SI-10-C-3
SI-10-C-4-A
SI-10-C-4-B
Edit Description
SI2 record is present, but corresponding record does not exist in
the SI1 file.
Managed batteries indicator must equal 'Y' or 'N'.
Managed pesticides indicator must equal 'Y' or 'N'.
Managed mercury containing equipment indicator must equal 'Y'
or 'N'.
Managed lamps indicator must equal 'Y' or 'N'.
Destination facility for universal waste indicator must equal 'Y' or
'N'.
Used oil transporter indicator must equal 'Y' or 'N'.
Used oil transfer facility indicator must equal 'Y' or 'N'.
Used oil processor indicator must equal 'Y' or 'N'.
Used oil re-refiner indicator must equal 'Y' or 'N'.
Off-specification used oil burner indicator must equal 'Y' or 'N'.
Used oil fuel marketer who directs shipment of off-specification
used oil to off-specification used oil burner indicator must equal
'Y' or 'N'.
Used oil fuel marketer who first claims the used oil meets the
specification indicator must equal 'Y' or 'N'.
Select Logic
HANDLERJD not in SI1 file
MAN_BATTERIES = 'Y' or 'N'
MAN_PESTICIDES = 'Y' or 'N'
MAN_THERMOSTATS = 'Y' or 'N'
MAN_LAMPS = 'Y' or 'N'
UNIVERSAL_WASTE_DEST_FACILITY = 'Y' or 'N'
USED_OIL_TRANSPORTER = 'Y' or 'N'
USED_OIL_TRANSFER_FACILITY = 'Y' or 'N'
USED_OIL_PROCESSOR = 'Y' or 'N'
USED_OIL_REFINER = 'Y' or 'N'
USED_OIL_BURNER = 'Y' or 'N'
USED_OIL_MARKET_BURNER = 'Y' or 'N'
USED_OIL_SPEC_MARKETER = 'Y' or 'N'
August 2007
B-14
File Specification Guide
-------
FLAT FILE ID# - 813
Source Form: Site ID Description: Handler Other Universal Waste Activities
This file captures the information contained in Section 10, Block B, Question IE of the Site ID form. The relationship of these data records to the reported site is «:1, that is,
there can be multiple other waste activities for each site.
Key Fields: Handler ID Number (HANDLER ID); Other Universal Waste Activities (UNIVERSAL WASTE). Each record in the SB file must contain a unique combination
of the Handler ID Number and Other Universal Waste Activities.
Note: The SI3file is NOT REQUIRED. The edits for this file apply only if you provide data for this file.
Field
No.
1
2
o
J
4
Field Name
HANDLERJD
UNIVERSAL_WASTE
GENERATED
MANAGED
Starting
Column
1
13
14
15
Total Record Length:
Field
Length
12
1
1
1
15
Data Type
A
A
A
A
Description
EPA Identification Number
Other Universal Waste Activities
Generated Other Universal Waste Activities
(Yes = 'Y', No = 'N')
Managed Other Universal Waste Activities
(Yes = 'Y', No = 'N')
Location on
Form
SI-2
SI-10-B-1-E
SI-10-B-1-E
SI-10-B-1-E
Edit
Number
SI3-010
SI3-020
SI3-030,
SI3-040
SI3-040,
SI3-050
August 2007
B-15
File Specification Guide
-------
SB Flat File Edit Specifications
Edit
Number
SB -010
SB -020
SI3-030
SB -040
SB -050
Form Location
SI-2
SI-10-B-1-E
SI-10-B-1-E
SI-10-B-1-E
SI-10-B-1-E
Edit Description
SB record is present, but corresponding record does not exist in
the SI1 file.
Other universal waste activities must be an implementer defined
value other than 'B', 'P', T, or 'L'.
Generated other universal waste activities indicator must equal 'Y'
or 'N'.
Managed other universal waste activities indicator must equal 'Y'
or 'N'.
Other universal waste activities must indicate whether the activity
was generated or managed.
Select Logic
HANDLERJD in SI1 file
UNIVERSAL WASTE = implementer defined value in
LU_UNIVERSAL_WASTE.
GENERATED = 'Y' or 'N'
MANAGED = 'Y' or 'N'
If GENERATED = 'N' Then MANAGED = 'Y'
If MANAGED = 'N' Then GENERATED = 'Y'
August 2007
B-16
File Specification Guide
-------
FLAT FILE ID# - SI4
Source
Form: Site ID Description: Waste Codes for Federally Regulated Hazardous Wastes
This file captures the information contained in Section 11, Block A of the Site ID form. The relationship of these data records to the reported site is n: 1, that is, there can be
multiple federal waste codes for each site.
Key Fields: Handler ID Number (HANDLERJD); Federal Waste Code (EPA_WASTE_CODE). Each record in the SI4 file must contain a unique combination of the Handler
ID Number and Federal Waste Code.
Note: The SI4file is NOT REQUIRED. The edits for this file apply only if you provide data for this file.
Field
No.
1
2
Field Name
HANDLERJD
EPA_WASTE_CODE
Total Record Length:
Starting
Column
1
13
Field
Length
12
4
16
Data Type
A
A
LOCJ
Description on F
EPA Identification Number SI-2
Waste Codes for Federally Regulated Hazardous Wastes SI-1 1
ition Edit
orm Number
SI4-010
-A SI4-020
August 2007
B-17
File Specification Guide
-------
SI4 Flat File Edit Specifications
Edit
Number
SI4-010
SI4-020
Form Location
SI-2
SI- 11 -A
Edit Description
SI4 record is present, but corresponding record does not exist in
the SI1 file.
Waste code for federally regulated hazardous wastes must be a
federal waste code value specified in the 2007 Hazardous Waste
Report, Instructions and Forms.
Select Logic
HANDLERJD in SI1 file
EPA_WASTE_CODE = value specified in the 2007 Hazardous
Waste Report, Instructions and Forms
August 2007
B-18
File Specification Guide
-------
FLAT FILE ID# - SIS
Source
This file
multiple
Form: Site ID Description: Waste Codes for State-Regulated Hazardous Wastes
captures the information contained in Section 11, Block B of the Site ID form. The relationship of these data records to the reported site is n:\, that is, there can be
state waste codes for each site.
Key Fields: Handler ID Number (HANDLERJD); State Waste Code (STATE_WASTE_CODE). Each record in the 815 file must contain a unique combination of the
Handler ID Number and State Waste Code.
Note: The SIS file is NOT REQUIRED. The
Field
No.
1
2
Field Name
HANDLERJD
STATE_WASTE_CODE
Total Record Length:
edits for this file apply only if you provide data for this file.
Starting
Column
1
13
Field
Length
12
6
18
Data Type
A
A
LOCJ
Description on F
EPA Identification Number SI-2
Waste Code for State-Regulated Hazardous Waste SI- 1 1
ition Edit
orm Number
SI5-010
-B SI5-020
August 2007
B-19
File Specification Guide
-------
SIS Flat File Edit Specifications
Edit
Number
SI5-010
SI5-020
Form Location
SI-2
SI-ll-B
Edit Description
815 record is present, but corresponding record does not exist in
the SI1 file.
Waste code must be registered with the RCRAInfo database.
Select Logic
HANDLERJD in SI1 file
STATE WASTE CODE = implementer defined value in
LU_WASTE_CODE
August 2007
B-20
File Specification Guide
-------
FLAT FILE ID# - SI6
Source Form: Site ID Description: North American Industry Classification System Codes for the Site
This file captures the information contained in Section 6 of the Site ID form. The relationship of these data records to the reported site is w:l, that is, there can be multiple
NAICS for each site.
Key Fields: Handler ID Number (HANDLER_ID); NAICS Sequence Number (NAICS_SEQ). Each record in the SI6 file must contain a unique combination of the Handler ID
Number and the NAICS Sequence Number.
Note: The SI6 file is REQUIRED. At least one record with a sequence number ofl must be provided for each handler.
Field
No.
1
2
o
J
Field Name
HANDLERJD
NAICS_SEQ
NAICS_CODE
Starting
Column
1
13
17
Total Record Length:
Field
Length
12
4
6
22
Data Type
A
I
A
Description
EPA Identification Number
NAICS Sequence Number
North American Industry Classification System Code
Location on
Form
SI-2
Assigned by
Respondent
SI-6
Edit
Number
SI6-010,
SI6-040
SI6-020,
SI6-050
SI6-030
August 2007
B-21
File Specification Guide
-------
SI6 Flat File Edit Specifications
Edit
Number
SI6-010
SI6-020
SI6-030
SI6-040
SI6-050
Form Location
SI-2
SI- Assigned by
respondent
SI-6
SI-6
SI-6
Edit Description
SI6 record is present, but corresponding record does not exist in
the SI1 file.
NAICS sequence number must be greater than zero.
North American industry classification system code must be a
valid value.
NAICS data must be provided.
One SI6 record with sequence number = 1 must be provided.
Select Logic
HANDLERJD in SI1 file
NAICS_SEQ > 0
NAICS_CODE = NAICS code provided in LU_NAICS
HANDLERJD in SI1 file and in SI6 file
Record in SI6 where NAICS_SEQ = 1
August 2007
B-22
File Specification Guide
-------
FLAT FILE ID# - SI7
Source Form: Site ID Description: Site Identification Form Certification
This file captures the information contained in Section 1 3 of the Site ID form. The relationship of these data records to the reported site is n : 1 , that is, there can be multiple
certifications for each site.
Key Fields: Handler ID Number (HANDLER ID); Certification Sequence Number (CERT SEQ). Each record in the SI7 file must contain a unique combination of the
Handler ID Number and Certification Sequence Number.
Note: The SI7 file is REQUIRED. At least one record must be provided for each handler.
Field
No.
1
2
3
4
5
6
7
Field Name
HANDLERJD
CERT_SEQ
CERT_FIRST_NAME
CERT_MIDDLE_INITIAL
CERT_LAST_NAME
CERT_TITLE
CERT_SIGNED_DATE
Starting
Column
1
13
15
30
31
46
61
Total Record Length:
Field
Length
12
2
15
1
15
15
8
68
Data Type
A
I
A
A
A
A
I
Description
EPA Identification Number
Certification Sequence Number
Certification First Name
Certification Middle Initial
Certification Last Name
Certification Title
Date Certification was Signed (CCYYMMDD)
Location
on Form
SI-2
Assigned by
Respondent
SI- 13
SI-13
SI- 13
SI-13
SI-13
Edit
Number
SI7-010,
SI7-070
SI7-020
SI7-040
SI7-030
SI7-050
SI7-060
August 2007
B-23
File Specification Guide
-------
SI7 Flat File Edit Specifications
Edit
Number
SI7-010
SI7-020
SI7-030
SI7-040
SI7-050
SI7-060
SI7-070
Form Location
SI-2
SI- Assigned by
respondent
SI-13
SI-13
SI-13
SI-13
SI-13
Edit Description
SI7 record is present, but corresponding record does not exist in
the SI1 file.
Certification sequence number must be greater than zero.
Certification last name must be provided.
Certification first name must be provided.
Certification title must be provided.
Date certification was signed must be a valid date greater than
20070101 (January 1, 2007) and less than today.
Certification data must be provided.
Select Logic
HANDLERJD in Sllfile
CERT_SEQ > 0
CERT_LAST_NAME <> ' '
CERT_FIRST_NAME <> ' '
CERT_TITLE <> ' '
CERT SIGNED D ATE >= '20070101' AND
CERT_SIGNED_DATE < TODAY
HANDLERJD in SI1 file and in SI7 file
August 2007
B-24
File Specification Guide
-------
FLAT FILE ID# - SIS
Source Form: NA Description: State Specific Activities
This file reports the state specific activities for each site. Although not on the EPA Form 8700-13 A/B, this file is available for states who wish to report this information. The
relationship of these data records to the reported site is n: 1, that is, there can be multiple state specific activities for each site.
Key Fields: Handler ID Number (HANDLERJD); State Activity Type (STATE_ACTIVITY_TYPE). Each record in the SIS file must contain a unique combination of the
Handler ID Number and State Activity Type.
Note: The SIS file is NOT REQUIRED. The edits for this file apply only if you provide data for this file.
Field
No.
1
2
3
Field Name
HANDLERJD
STATE_ACTIVITY_TYPE
NOTES
Starting
Column
1
13
18
Total Record Length:
Field
Length
12
5
240
257
Data Type
A
A
A
Description
EPA Identification Number
State Activity Type
Notes/Comments
Location
on Form
Edit
Number
SI8-010
SI8-020
August 2007
B-25
File Specification Guide
-------
SIS Flat File Edit Specifications
Edit
Number
SI 1-0 10
SI 1-020
Form Location
Edit Description
SIS record is present, but corresponding record does not exist in
the SI1 file.
State activity type must be registered with the RCRAInfo
database.
Select Logic
HANDLERJD in SI1 file
STATE ACTIVITY TYPE = implementer defined value in
LU_STATE_ACTIVITY
August 2007
B-26
File Specification Guide
-------
FLAT FILE ID# - SI9
Source Form: Site ID Description: Owner/Operator Name and Address
This file reports the owner and operator name and address for each site. The owner/operator name, date and type are on the EPA Form 8700-13 A/B. The file specification
includes owner/operator address information for states who wish to report this information. The relationship of these data records to the reported site is n: 1 , that is, there can be
multiple owner and operator names and addresses for each site.
Key Fields: Handler ID Number (HANDLERJD); Owner/Operator Sequence Number (OWNER_OPERATOR_SEQ_NO) . Each record in the SI9 file must contain a unique
combination of the Handler ID Number and Owner/Operator Sequence Number.
Note: The SI9file is REQUIRED . At least two records must be provided for each handler - one record for current owner and one record for current operator.
Field
No.
1
2
3
4
5
6
7
8
9
10
Field Name
HANDLERJD
OWNER_OPERATOR_SEQ_NO
OWNER_OPERATOR_INDICATOR
OWNER_OPERATOR_NAME
OWNER_OPERATOR_DATE
OWNER_OPERATOR_TYPE
OWNER_OPERATOR_STREET_NO
O WNER_OPERATOR_STREET 1
OWNER_OPERATOR_STREET2
OWNER_OPERATOR_CITY
Starting
Column
1
13
17
19
59
67
68
80
110
140
Field
Length
12
4
2
40
8
1
12
30
30
25
Data Type
A
I
A
A
I
A
A
A
A
A
Description
EPA Identification Number
Owner/Operator Sequence Number
Owner/Operator Indicator
(Current Owner = 'CO', Current Operator = 'CP')
Site's Legal Owner/Operator
Date Became Owner/Operator (CCYYMMDD)
Owner/Operator Type
(Private = 'P', County = 'C', District = TV, Federal = T", Indian =
T, Municipal = 'M', State = 'S', Other = 'O')
Owner/Operator Street Number
Owner/Operator Street 1
Owner/Operator Street 2
Owner/Operator City
Location
on Form
SI-9-A,
SI-9-B
SI-9-A,
SI-9-B
SI-9-A,
SI-9-B
SI-9-A
SI-9-A
SI-9-A
SI-9-A
Edit
Number
SI9-010
SI9-080,
SI9-090
SI9-040
SI9-020
SI9-030
August 2007
B-27
File Specification Guide
-------
FLAT FILE ID# - SI9
Source Form: Site ID Description: Owner/Operator Name and Address
This file reports the owner and operator name and address for each site. The owner/operator name, date and type are on the EPA Form 8700-13 A/B. The file specification
includes owner/operator address information for states who wish to report this information. The relationship of these data records to the reported site is n: 1 , that is, there can be
multiple owner and operator names and addresses for each site.
Key Fields: Handler ID Number (HANDLERJD); Owner/Operator Sequence Number (OWNER_OPERATOR_SEQ_NO) . Each record in the SI9 file must contain a unique
combination of the Handler ID Number and Owner/Operator Sequence Number.
Note: The SI9file is REQUIRED . At least two records must be provided for each handler - one record for current owner and one record for current operator.
Field
No.
11
12
13
14
Field Name
OWNER_OPERATOR_STATE
OWNER_OPERATOR_ZIP
OWNER_OPERATOR_COUNTRY
OWNER_OPERATOR_NOTES
Starting
Column
165
167
181
231
Total Record Length:
Field
Length
2
14
50
240
470
Data Type
A
A
A
A
Description
Owner/Operator State
Owner/Operator Zip Code
Owner/Operator Country
Owner/Operator Notes
Location
on Form
SI-9-A
SI-9-A
SI-9-A
Edit
Number
SI9-050,
SI9-100,
SI9-110
SI9-060
SI9-100,
SI9-110,
SI9-120
August 2007
B-28
File Specification Guide
-------
SI9 Flat File Edit Specifications
Edit
Number
SI9-010
SI9-020
SI9-030
SI9-040
SI9-050
SI9-060
SI9-080
SI9-090
SI9-100
SI9-110
SI9-120
Form Location
SI-9-A, SI-9-B
SI-9-A, SI-9-B
SI-9-A, SI-9-B
SI-9
SI-9
SI-9
Edit Description
SI9 record is present, but corresponding record does not exist in
the SI1 file.
Owner / operator date must be a valid date greater than 1700101
(January 1, 1700).
Owner / operator type must equal 'P', 'C', 'D', T", T, 'M', 'S', or
'O'.
Owner / operator name must be provided.
Owner/operator state must be a value specified in Appendix E or
blank.
Owner/operator zip code must contain only the characters 0, 1,2,
3,4, 5, 6,7, 8, 9, or blank.
Owner / operator indicator must equal 'CO' or 'CP'.
At least one SI9 record with owner/operator indicator = 'CO' and
at least one SI9 record with owner/operator indicator = 'CP' must
be provided.
If owner/operator country code is equals to blank or 'US' then
owner/operator state must equal a valid state postal code or blank.
If owner/operator country is not equal to blank or 'US' then
owner/operator state must equal a valid nationally -defined value
in LU_FOREIGN_STATE or blank.
Owner/operator country code must be a valid nationally defined
value. If owner/operator country code is blank, a value of
'UNITED STATES' will be assumed.
Select Logic
HANDLER ID in SI1 file
OWNER_OPERATOR_DATE = valid date
OWNER OPERATOR TYPE = 'P' or 'C' or 'D' or 'F' or T or 'M'
or 'S' or 'O'
OWNER_OPERATOR_NAME <> ' '.
OWNER_OPERATOR_STATE = value specified in Appendix E
or' '
OWNER OPERATOR ZIP characters = '0', T, '2', '3', '4', '5', '6',
7', '8', '9', ' '
OWNER_OPERATOR_INDICATOR = 'CO' or 'CP'
There must be at least one record in SI9 where
OWNER_OPERATOR_INDICATOR = 'CO' and
there must be a least one record in SI9 where
OWNER_OPERATOR_INDICATOR = 'CP'
If OWNER_OPERATOR_COUNTRY = " or 'US' Then
OWNER_OPERATOR_STATE = valid state postal code or ' '
If OWNER_OPERATOR_COUNTRY <> ' ' or 'US' Then
OWNER OPERATOR STATE = valid state code in
LU_FOREIGN_STATE or ' '
OWNER OPERATOR COUNTRY = nationally defined country
code provided in LU_COUNTRY or ' '
August 2007
B-29
File Specification Guide
-------
FLAT FILE ID# - GM1
Source Form: GM Description: Waste Measurement Information
This file captures data elements that have a 1 : 1 relationship to the reported waste. These data elements are as follows: GM Section 1, Block A and Blocks D through G.
Key Fields: Handler ID Number (HANDLER ID); Page Number (HZ PG). Each record in the GM1 file must contain a unique combination of the Handler ID Number and
Page Number.
Note: The GM1 File is REQUIRED for handlers that generated RCRA hazardous waste that, in 2007, was accumulated on-site; managed on-site in a treatment, storage, or
disposal unit; and / or shipped off-site for management.
Field
No.
1
2
3
4
5
6
7
8
9
Field Name
HANDLERJD
HZ_PG
FORM_CODE
UNIT_OF_MEASURE
WST_DENSITY
DENSITY_UNIT_OF_MEASURE
ORIGIN_MANAGEMENT_METHOD
***OBSOLETE FIELD***
SOURCE_CODE
GEN_QTY
Starting
Column
1
13
18
22
23
29
30
34
35
38
Field
Length
12
5
4
1
6
1
4
1
3
18
Data Type
A
I
A
A
D3.2
A
A
A
A
D11.6
Description
EPA ID Number
Page Number
Waste Form Code
Unit of Measure
(Pounds = T, Short Tons = '2', Kilograms = '3', Metric
Tonnes = '4', Gallons = '5', Liters = '&, Cubic Yards = '7')
Density
Density Unit of Measure
(lbs/gal = T,sg = '2')
Origin management method for source code G25
Obsolete Field - must leave blank (formerly RCRA-
Radioactive Mix)
Source Code
Quantity Generated in Reporting Year
Location
on Form
Site ID
Block
Assigned By
Respondent
GM-l-E
GM-l-G
GM-l-G
GM-l-G
GM-l-D
GM-l-D
GM-l-F
Edit
Number
GM1-010
GM1-020
GM1-070
GM1-030,
GM1-040
GM1-040,
GM1-050
GM1-040
GM1-080
GM1-080,
GM1-090
GM1-060
August 2007
B-30
File Specification Guide
-------
FLAT FILE ID# - GM1
Source Form: GM Description: Waste Measurement Information
This file captures data elements that have a 1 : 1 relationship to the reported waste. These data elements are as follows: GM Section 1, Block A and Blocks D through G.
Key Fields: Handler ID Number (HANDLER_ID); Page Number (HZ_PG). Each record in the GM1 file must contain a unique combination of the Handler ID Number and
Page Number.
Note: The GM1 File is REQUIRED for handlers that generated RCRA hazardous waste that, in 2007, was accumulated on-site; managed on-site in a treatment, storage, or
disposal unit; and / or shipped off-site for management.
Field
No.
10
11
12
13
14
Field Name
INCLUDE_IN_NATIONAL_REPORT
DESCRIPTION
NOTES
ON_SITE_MANAGEMENT
OFF_SITE_SHIPMENT
Starting
Column
56
57
297
537
538
Total Record Length:
Field
Length
1
240
240
1
1
538
Data Type
A
A
A
A
A
Description
Include Information in the National Hazardous Waste
Report
(Yes = 'Y', No = 'N')
Waste Stream Description
Comments/Notes
Was this Waste Stream Managed On-Site
(Yes = 'Y', No = 'N')
Was this Waste Stream Shipped Off-Site
(Yes = 'Y', No = 'N')
Location
on Form
GM-l-A
Bottom of
GMForm
GM-2
GM-3-A
Edit
Number
GM1-100
GM1-110,
GM1-120,
GM1-130
GM1-140,
GM1-150,
GM1-160
August 2007
B-31
File Specification Guide
-------
GM1 Flat File Edit Specifications
Edit
Number
GM1-010
GM1-020
GM1-030
GM1-040
GM1-050
GM1-060
GM1-070
GM1-080
GM1-090
GM1-100
GM1-110
Form Location
GM
GM
GM-l-H
GM-l-H
GM-l-H
GM-l-G
GM-l-E
GM-l-D
GM-l-D
GM-2
Edit Description
GM1 record is present, but corresponding record does not exist in
the SI1 file.
Page number must be greater than zero.
Generated quantity unit of measure must equal T, '2', '3', '4', '5',
'6', or '7'.
If the generated quantity unit of measure is '5', '6' or '7' then
density must be greater than zero and density unit of measure
must be 1 or 2.
Waste density must be greater than or equal to 0.01 and less than
or equal to 999.99, or equal to 0.
Quantity generated in the reporting year must be greater than or
equal to 0.000001 and less than or equal to
99,999,999,998.999999, or equal to zero.
The form code must be a form code value specified in the 2007
Hazardous Waste Report, Instructions and Forms or blank.
If source code equals G25 then the management method code
must be a management method specified in the 2007 Hazardous
Waste Report, Instructions and Forms. If source code is not
equal to G25 then the management method code must be blank.
The source code must be a source code value specified in the
2007 Hazardous Waste Report, Instructions and Forms.
If Include in National Report in the SI1 file equals 'N' then
Include in National Report must be a 'N'. If Include in National
Report in the SI1 file equals 'Y' then Include in National Report
must be a 'Y' or 'N'.
On-site management indicator must equal 'Y' or 'N'
Select Logic
HANDLERJD in Sllfile
HZ_PG > 0
UNIT_OF_MEASURE = T or '2' or '3' or '4' or '5' or '6' or '7'
If UNIT OF MEASURE = '5', '6', or '7' Then
WST DENSITY > 0 AND
DENSITY_UNIT_OF_MEASURE = 1 or 2
WST DENSITY >= 0.01 and <= 999.99 or
WST_DENSITY = 0
GEN QTY >= 0.000001 and <= 99999999998.999999 or
GEN_QTY = 0
FORM CODE = value specified in the 2007 Hazardous Waste
Report, Instructions and Forms or ' '
If SOURCE CODE = 'G25' Then
ORIGIN_MANAGEMENT_METHOD = value specified in the
2007 Hazardous Waste Report, Instructions and Forms
Else ORIGIN_MANAGEMENT_METHOD = ' '
SOURCE_CODE = value specified in the 2007 Hazardous Waste
Report, Instructions and Forms
If INCLUDE IN NATIONAL REPORT = 'N' in the SI1 file Then
INCLUDE IN NATIONAL REPORT = 'N'
Else INCLUDE_IN_NATIONAL_REPORT = 'Y' or 'N'
ON SITE MANAGEMENT = 'Y' or 'N'
August 2007
B-32
File Specification Guide
-------
GM1 Flat File Edit Specifications
Edit
Number
GM1-120
GM1-130
GM1-140
GM1-150
GM1-160
Form Location
GM-2
GM-2
GM-3-A
GM-3-A
GM-3-A
Edit Description
If On-site management indicator equals ' Y' then at least one
corresponding record must exist in GM5 file.
If On-site management indicator equals 'N' then no
corresponding record may exist in GM5 file.
Off-site management indicator must equal 'Y' or 'N'
If Off-site shipment indicator equals ' Y' then at least one
corresponding record must exist in GM4 file.
If Off-site shipment indicator equals 'N' then no corresponding
record may exist in GM4 file.
Select Logic
If ON SITE MANAGEMENT = 'Y' Then
HANDLER ID and HZ PG in GM5 file
If ON SITE MANAGEMENT = 'N' Then no record in GM5 file
for HANDLER ID and HZ PG
OFF SITE SHIPMENT = 'Y' or 'N'
If OFF SITE SHIPMENT = 'Y' Then
HANDLER ID and HZ PG in GM4 file
If OFF SITE SHIPMENT = 'N' Then no record in GM4 for
HANDLER ID and HZ PG
August 2007
B-33
File Specification Guide
-------
FLAT FILE ID# - GM2
Source Form: GM Description: EPA Hazardous Waste Codes for each GM page
This file captures the information contained in Section 1, Block B of the GM form. The relationship of these data records to the reported waste is n:l, that is, there can be
multiple EPA waste codes for each unique reported waste.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ_PG); EPA Hazardous Waste Code (EPA_WASTE_CODE). Each record in the GM2 file must contain
a unique combination of the Handler ID Number, Page Number, and EPA Hazardous Waste Code.
Note: For each waste stream, either EPA Hazardous Waste Code information (GM2) is REQUIRED or State Hazardous Waste Code information (GM3) is REQUIRED.
Field
No.
1
2
3
Field Name
HANDLERJD
HZ_PG
EPA_WASTE_CODE
Starting
Column
1
13
18
Total Record Length:
Field
Length
12
5
4
21
Data Type
A
I
A
Description
EPA ID Number
Page Number
EPA Hazardous Waste Code
Location
on Form
Site ID Block
Assigned by
Respondent
GM-l-B
Edit
Number
GM2-010,
GM2-030
GM2-020
August 2007
B-34
File Specification Guide
-------
GM2 Flat File Edit Specifications
Edit
Number
GM2-010
GM2-020
GM2-030
Form Location
GM
GM-l-B
GM-l-B
Edit Description
GM2 record is present, but corresponding record does not exist in
the GM1 file.
EPA hazardous waste code must be an EPA waste code value
specified in the 2007 Hazardous Waste Report, Instructions and
Forms.
EPA or State hazardous waste data must be provided.
Select Logic
HANDLERJD and HZ_PG in GM1 file
EPA_WASTE_CODE = value specified in the 2007 Hazardous
Waste Report, Instructions and Forms
HANDLERJD and HZ_PG in GM1 file and in GM2 or GM3 file
August 2007
B-35
File Specification Guide
-------
FLAT FILE ID# - GM3
Source Form: GM Description: State Hazardous Waste Codes for each GM page
This file captures the information contained in Section 1, Block C of the GM form. The relationship of these data records to the reported waste is n:l, that is, there can be
multiple State waste codes for each unique reported waste.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ_PG); State Hazardous Waste Code (WASTE_CODE). Each record in the GM3 file must contain a
unique combination of the Handler ID Number, Page Number, and State Hazardous Waste Code.
Note: For each waste stream, either EPA Hazardous Waste Code information (GM2) is REQUIRED or State Hazardous Waste Code information (GM3) is REQUIRED.
Field
No.
1
2
3
Field Name
HANDLERJD
HZ_PG
WASTE_CODE
Starting
Column
1
13
18
Total Record Length:
Field
Length
12
5
6
23
Data Type
A
I
A
Description
EPA ID Number
Page Number
State Hazardous Waste Code
Location on
Form
Site ID
Block
Assigned by
respondent
GM-l-C
Edit
Number
GM3-010,
GM3-030
GM3-020
August 2007
B-36
File Specification Guide
-------
GM3 Flat File Edit Specifications
Edit
Number
GM3-010
GM3-020
GM2-030
Form Location
GM
GM-l-C
GM-l-B
Edit Description
GM3 record is present, but corresponding record does not exist in
the GM1 file.
Waste code must be registered with the RCRAInfo database.
EPA or State hazardous waste data must be provided.
Select Logic
HANDLERJD and HZ_PG in GM1 file
WASTE CODE = implementer defined state waste code in
LU_WASTE_CODE
HANDLERJD and HZ_PG in GM1 file and in GM2 or GM3 file
August 2007
B-37
File Specification Guide
-------
FLAT FILE ID# - GM4
Source Form: GM Description: Off-Site Management Information for the Reported Waste on Each GM Page
This file captures off-site treatment information for the reported waste as represented in GM Section 3, Blocks B through D. The relationship of these data records to the
reported waste is n: 1, that is, there can be multiple off-site information for each unique reported waste.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ_PG); Off-site Sequence Number (IO_PG_NUM_SEQ). Each record in the GM4 file must contain a
unique combination of the Handler ID Number, Page Number, and Off-site Sequence Number.
Note: The GM4 File is REQUIRED for handlers that generated RCRA hazardous waste that, in 2007, was shipped off-site for management.
Field
No.
1
2
3
4
5
6
Field Name
HANDLERJD
HZ_PG
IO_PG_NUM_SEQ
MANAGEMENT_METHOD
IO_TDR_ID
IO_TDR_QTY
Starting
Column
1
13
18
23
27
39
Total Record Length:
Field
Length
12
5
5
4
12
18
56
Data Type
A
I
I
A
A
D11.6
Description
EPA ID Number
Page Number
Off-site Sequence Number
Off-site Management Method
EPA ID No. of Off-site Facility Shipped to
Total Quantity Shipped to EPA ID in Field 5 in Current
Reporting Year
Location
on Form
Site ID
Block
Assigned by
Respondent
GM-3 Site*
Block
GM-3-C
GM-3-B
GM-3-D
Edit
Number
GM4-010
GM4-020
GM4-050
GM4-030
GM4-040
August 2007
B-38
File Specification Guide
-------
GM4 Flat File Edit Specifications
Edit
Number
GM4-010
GM4-020
GM4-030
GM4-040
GM4-050
Form Location
GM
GM - Assigned by
respondent
GM-3-B
GM-3-D
GM-3-C
Edit Description
GM4 record is present, but corresponding record does not exist in
the GM1 file.
Off-site code sequence number must be greater than zero.
The off-site shipment handler EPA ID number must begin with a
valid state postal code.
Total quantity shipped off-site in the reporting year must be
greater than or equal to 0.000001 and less than or equal to
99,999,999,998.999999.
The off-site management method must be a management method
specified in the 2007 Hazardous Waste Report, Instructions and
Forms or blank.
Select Logic
HANDLERJD and HZ_PG in GM1 file
IO_PG_NUM_SEQ > 0
SUBSTR(IO TDK ID, 1,2) = valid state postal code (see Appendix
E)
IO_TDR_QTY >= 0.000001 and <= 99999999998.999999
MANAGEMENT_METHOD = management method specified in
the 2007 Hazardous Waste Report, Instructions and Forms or
blank.
August 2007
B-39
File Specification Guide
-------
FLAT FILE ID# - GM5
Source Form: GM Description: On-site Management Information for the Reported Waste on Each GM Page.
This file captures on-site treatment information as contained in Section 2 of the GM form. The relationship of the data element to the reported waste is n : 1 , that is, there can be
multiple on-site information for each unique reported waste.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ_PG); On-site Sequence Number (SYS_PG_NUM_SEQ). Each record in the GM5 file must contain a
unique combination of the Handler ID Number, Page Number, and On-site Sequence Number.
Note: The GM5 File is REQUIRED for handlers that generated RCRA hazardous waste that, in 2007, was accumulated on-site or managed on-site in a treatment, storage, or
disposal unit.
Field
No.
1
2
3
4
5
Field Name
HANDLERJD
HZ_PG
SYS_PG_NUM_SEQ
MANAGEMENT_METHOD
SYS_TDR_QTY
Starting
Column
1
13
18
23
27
Total Record Length:
Field
Length
12
5
5
4
18
44
Data Type
A
I
I
A
D11.6
Description
EPA ID Number
Page Number
On-site Sequence Number
On-site Management Method
Quantity Treated, Disposed, or Recycled On-site in
Current Reporting Year
Location
on Form
Site ID Block
Assigned by
Respondent
GM-2
System*
Block
GM-2
GM-2
Edit
Number
GM5-010
GM5-020
GM5-040
GM5-030
August 2007
B-40
File Specification Guide
-------
GM5 Flat File Edit Specification
Edit
Number
GM5-010
GM5-020
GM5-030
GM5-040
Form Location
GM
GM - Assigned by
respondent
GM-2
GM-2
Edit Description
GM5 record is present, but corresponding record does not exist in
the GM1 file.
On-site sequence number must be greater than zero.
Total quantity treated, disposed, or recycled on-site in the
reporting year must be greater than or equal to 0.000001 and less
than or equal to 99,999,999,998.999999.
The on-site management method must contain a management
method specified in the 2007 Hazardous Waste Report,
Instructions and Forms.
Select Logic
HANDLERJD and HZ_PG in GM1 file
SYS_PG_NUM_SEQ > 0
SYS_TDR_QTY >= 0.000001 and <= 99999999998.999999
MANAGEMENT_METHOD = value specified in the 2007
Hazardous Waste Report, Instructions and Forms
August 2007
B-41
File Specification Guide
-------
FLAT FILE ID# - WR1
Source Form: WR Description: Received Waste Description and Measurement Information
This file captures the information contained in Block A and Blocks D through H of the WR form. The relationship of these data records to the reported site is n : 1 , that is, there
can be multiple received waste for each site.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ_PG); Waste Number (SUB_PG_NUM). Each record in the WR1 file must contain a unique combination
of Handler ID Number, Page Number, and Waste Number.
Note: The WR1 is REQUIRED for handlers who, during 2007, received RCRA hazardous waste from off-site.
Field
No.
1
2
3
4
5
6
7
8
9
Field Name
HANDLERJD
HZ_PG
SUB_PG_NUM
FORM_CODE
UNIT_OF_MEASURE
WST_DENSITY
DENSITY_UNIT_OF_MEASURE
***OBSOLETE FIELD***
MANAGEMENT_METHOD
IO_TDR_ID
Starting
Column
1
13
18
19
23
24
30
31
32
36
Field
Length
12
5
1
4
1
6
1
1
4
12
Data Type
A
I
I
A
A
D3.2
A
A
A
A
Description
EPA ID Number
Page Number
Waste Number
Form Code
Unit of Measure
(Pounds = T, Short Tons = '2', Kilograms = '3', Metric
Tonnes = '4', Gallons = '5', Liters = '6', Cubic Yards = '7')
Density
Density Unit of Measure
(Ibs/gal = '!', sg='2')
Obsolete Field - must leave blank (formerly RCRA-
Radioactive Mix)
Management Method
Off-site Source EPA ID Number
Location
on Form
Site ID
Block
Assigned by
Respondent
Printed on
Form
WR-G
WR-F
WR-F
WR-F
WR-H
WR-D
Edit
Number
WR1-010
WR1-020
WR1-030
WR1-100
WR1-040,
WR1-050
WR1-050,
WR1-060
WR1-050
WR1-070
WR1-080
August 2007
B-42
File Specification Guide
-------
FLAT FILE ID# - WR1
Source Form: WR Description: Received Waste Description and Measurement Information
This file captures the information contained in Block A and Blocks D through H of the WR form. The relationship of these data records to the reported site is n : 1 , that is, there
can be multiple received waste for each site.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ_PG); Waste Number (SUB_PG_NUM). Each record in the WR1 file must contain a unique combination
of Handler ID Number, Page Number, and Waste Number.
Note: The WR1 is REQUIRED for handlers who, during 2007, received RCRA hazardous waste from off-site.
Field
No.
10
11
12
13
Field Name
IO_TDR_QTY
INCLUDE_IN_NATIONAL_REPORT
DESCRIPTION
NOTES
Starting
Column
48
66
67
307
Total Record Length:
Field
Length
18
1
240
240
546
Data Type
D11.6
A
A
A
Description
Quantity Received in Current Reporting Year
Include Information in the National Hazardous Waste
Report
(Yes = 'Y', No = 'N')
Waste Stream Description
Comments/Notes
Location
on Form
WR-E
WR-A
Bottom of
WRForm
Edit
Number
WR1-090
WR1-110
August 2007
B-43
File Specification Guide
-------
WR1 Flat File Edit Specifications
Edit
Number
WR1-010
WR1-020
WR1-030
WR1-040
WR1-050
WR1-060
WR1-070
WR1-080
WR1-090
WR1-100
WR1-110
Form Location
WR
WR
WR
WR-F
WR-F
WR-F
WR-H
WR-D
WR-E
WR-G
Edit Description
WR1 record is present, but corresponding record does not exist in
the SI1 file.
Page number must be greater than zero.
Sub-page number must equal T, '2', or '3'.
Generated quantity unit of measure must equal '!', '2', '3', '4', '5',
'6', or '7'.
If the generated quantity unit of measure is '5', '6' or '7' then
density must be greater than zero and density unit of measure
must be 1 or 2.
Waste density must be greater than or equal to 0.01 and less than
or equal to 999.99, or equal to 0.
Management method code must be a management method
specified in the 2007 Hazardous Waste Report, Instructions and
Forms.
The first two characters of the off-site handler EPA ID number
must be a valid postal code (see Appendix E) or 'FC' (foreign
country).
Total quantity received in the reporting year must be greater than
or equal to 0.000001 and less than or equal to
99,999,999,998.999999.
The form code must be a form code specified in the 2007
Hazardous Waste Report, Instructions and Forms or blank.
If Include in National Report in the SI1 file equals 'N' then
Include in National Report must be 'N'. If Include in National
Report in the SI1 file equals 'Y' then Include in National Report
must be 'Y' or 'N'.
Select Logic
HANDLERJD in Sllfile
HZ_PG > 0
SUB_PG_NUM = T or '2' or '3'
UNIT_OF_MEASURE = T or '2' or '3' or '4' or '5' or '6' or '7'
If UNIT OF MEASURE = '5', '6', or '7' Then
WST DENSITY > 0 AND
DENSITY_UNIT_OF_MEASURE = 1 or 2
WST DENSITY >= 0.01 and <= 999.99 or
WST_DENSITY = 0
MANAGEMENT_METHOD = value specified in the 2007
Hazardous Waste Report, Instructions and Forms
SUBSTR(IO TDR ID, 1,2) = valid postal code (see Appendix E)
or 'FC'
IO_TDR_QTY >= 0.000001 and <= 99999999998.999999
FORM CODE = value specified in the 2007 Hazardous Waste
Report, Instructions and Forms or ' '
If INCLUDE IN NATIONAL REPORT = 'N' in the SI1 file Then
INCLUDE IN NATIONAL REPORT = 'N'
Else INCLUDE IN NATIONAL REPORT = 'Y' or 'N'
August 2007
B-44
File Specification Guide
-------
FLAT FILE ID# - WR2
Source Form: WR Description: EPA Hazardous Waste Codes for Each Reported Waste Received
This file contains the EPA hazardous waste codes for each WR form page as described in Form WR, Block B. The relationship of these data records to the reported waste is n: 1,
that is, there can be multiple EPA waste codes for each unique reported waste.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ J>G); Waste Number (SUB J^GJvfUM); EPA Hazardous Waste Code (EPA_WASTEj:ODE). Each
record in the WR2 file must contain a unique combination of the Handler ID Number, Page Number, Waste Number, and EPA Hazardous Waste Code.
Note: For each waste stream, either EPA Hazardous Waste Code information (WR2) is REQUIRED or State Hazardous Waste Code information (WR3) is REQUIRED.
Field
No.
1
2
3
4
Field Name
HANDLERJD
HZJ>G
SUBJ>GJS[UM
EPA_WASTEj:ODE
Starting
Column
1
13
18
19
Total Record Length:
Field
Length
12
5
1
4
22
Data Type
A
I
I
A
Description
EPA ID Number
Page Number
Waste Number
EPA Hazardous Waste Code
Location
on Form
Site ID
Block
Assigned by
Respondent
Printed on
Form
WR-B
Edit
Number
WR2-010,
WR2-030
WR2-010,
WR2-030
WR2-010,
WR2-030
WR2-020
August 2007
B-45
File Specification Guide
-------
WR2 Flat File Edit Specifications
Edit
Number
WR2-010
WR2-020
WR2-030
Form Location
WR
WR-B
WR-B
Edit Description
WR2 record is present, but corresponding record does not exist in
the WR1 file.
EPA hazardous waste code must be an EPA waste code specified
in the 2007 Hazardous Waste Report, Instructions and Forms.
EPA or State hazardous waste data must be provided.
Select Logic
HANDLERJD, HZ_PG, and SUB_PG_NUM in WR1 file
EPA_WASTE_CODE = value specified in the 2007 Hazardous
Waste Report, Instructions and Forms
HANDLER ID, HZ PG, and SUB PG NUM in WR1 file and in
WR2 or WR3 file
August 2007
B-46
File Specification Guide
-------
FLAT FILE ID# - WR3
Source Form: WR Description: State Hazardous Waste Codes for Each Reported Waste Received
This file contains the State hazardous waste codes for each WR form page as described in Form WR, Block C. The relationship of these data records to the reported waste is n: 1 ,
that is, there can be multiple State waste codes for each unique reported waste.
Key Fields: Handler ID Number (HANDLERJD); Page Number (HZ J>G); Waste Number (SUB J>GJS[UM); State Hazardous Waste Code (WASTE j:ODE). Each
record in the WR3 file must contain a unique combination of the Handler ID Number, Page Number, Waste Number, and State Hazardous Waste Code.
Note: For each waste stream, either EPA Hazardous Waste Code information (GM2) is REQUIRED or State Hazardous Waste Code information (GM3) is REQUIRED.
Field
No.
1
2
3
4
Field Name
HANDLERJD
HZJ>G
SUBJ>GJS[UM
WASTE j:ODE
Starting
Column
1
13
18
19
Total Record Length:
Field
Length
12
5
1
6
24
Data Type
A
I
I
A
Description
EPA ID Number
Page Number
Waste Number
State Hazardous Waste Code
Location
on Form
Site ID
Block
Assigned by
Respondent
Printed on
Form
WR-C
Edit
Number
WR3-010,
WR3-030
WR3-010,
WR3-030
WR3-010,
WR3-030
WR3-020
August 2007
B-47
File Specification Guide
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WR3 Flat File Edit Specifications
Edit
Number
WR3-010
WR3-020
WR3-030
Form Location
WR
WR-B
WR-B
Edit Description
WR3 record is present, but corresponding record does not exist in
the WR1 file.
Waste code must be registered with the RCRAInfo database.
EPA or State hazardous waste data must be provided.
Select Logic
HANDLERJD, HZ_PG, and SUB_PG_NUM inWRlfile
WASTE CODE = implementer defined value in
LU_WASTE_CODE
HANDLER ID, HZ PG, and SUB PG NUM in WR1 file and in
WR2 or WR3 file
August 2007
B-48
File Specification Guide
-------
FLAT FILE ID# - Oil
Source Form: OI Description: Identification of All Handlers to Whom or From Whom Waste was Shipped, and Transporters
This file captures information from the OI form. This flat file should never be included in submissions to RCRAInfo.
Key Fields: Handler ID Number (HANDLER ID); Page Number (OSITE PGNUM). Each record in the Oil file must contain a unique combination of EPA ID Number and
Page Number.
Field
No.
1
2
3
4
5
6
7
8
9
10
Field Name
HANDLERJD
OSITE_PGNUM
OFFJD
WST_GEN_FLG
WST_TRNS_FLG
WST_TSDR_FLG
ONAME
OI STREET
O2STREET
OCITY
Starting
Column
1
13
18
30
31
32
33
73
103
133
Field
Length
12
5
12
1
1
1
40
30
30
25
Data
Type
A
I
A
A
A
A
A
A
A
A
Description
EPA ID Number
Page Number
Off-site Installation or Transporter EPA ID Number
Handler Type = Generator
(Checked = 'Y',
Unchecked and not implementer required = TJ', Unchecked
and implementer required = 'N')
Handler Type= Transporter
(Checked = 'Y',
Unchecked and not implementer required = TJ', Unchecked
and implementer required = 'N')
Handler Type = TSDR
(Checked = 'Y',
Unchecked and not implementer required = TJ', Unchecked
and implementer required = 'N')
Name of Off-site Installation or Transporter
1st Street Address Line of Installation or Transporter
2nd Street Address Line of Installation or Transporter
City
Location
on Form
Site ID Block
Assigned by
Respondent
OI-A
OI-C
OI-C
OI-C
OI-B
OI-D
OI-D
OI-D
Edit
Number
August 2007
B-49
File Specification Guide
-------
FLAT FILE ID# - Oil
Source Form: OI Description: Identification of All Handlers to Whom or From Whom Waste was Shipped, and Transporters
This file captures information from the OI form. This flat file should never be included in submissions to RCRAInfo.
Key Fields: Handler ID Number (HANDLER_ID); Page Number (OSITE_PGNUM). Each record in the Oil file must contain a unique combination of EPA ID Number and
Page Number.
Field
No.
11
12
13
Field Name
OSTATE
OZIP
NOTES
Starting
Column
158
160
169
Total Record Length:
Field
Length
2
9
240
408
Data
Type
A
A
A
Description
State
Zip Code
Comments/Notes
Location
on Form
OI-D
OI-D
Bottom of OI
Form
Edit
Number
August 2007
B-50
File Specification Guide
-------
APPENDIX C
Hazardous Waste Report Annotated Forms
-------
APPENDIX C - Hazardous Waste Report Annotated Forms
SEND THE
COMPLETED FORM
TO:
The Appropriate State or
EPA Regional Office.
1 . Reason for
Submittal
(See instructions
on page 23)
MARK ALL BOX(ES)
THAT APPLY
2. Site EPA ID
Number
(See page xx)
3. Site Name
(See page xx)
4. Site Location
Information
(See page xx)
5. Site Land Type
(See page xx)
6. North American
Industry
Classification
System (NAICS)
Code(s) for the Site
(See page xx)
7. Site Mailing
Address
(See page xx)
8. Site Contact
Person
(See page xx)
United States Environmental Protection Agency
RCRA SUBTITLE C SITE IDENTIFICATION FORM
Reason for Submittal: SI1-2
Q To provide Initial Notification of Regulated Waste Activity (to obtain an EPA ID Number for hazardous waste,
universal waste, or used oil activities).
Q To provide Subsequent Notification of Regulated Waste Activity (to update site identification information).
Q As a component of a First RCRA Hazardous Waste Part A Permit Application.
Q As a component of a Revised RCRA Hazardous Waste Part A Permit Application (Amendment
# ).
X As a component of the Hazardous Waste Report.
EPA ID Number: SI1-1
i i i i i i i i i i i i
Name: SI1-3
Street Address: SI-4, SI-5, SI1-6
City, Town, or Village: SI1-7 State: SI1-9
County Name: SI1-8 Zip Code: SI1-10
Site Land Type: a Private a County a District a Federal a Indian a Municipal a State a Other
sn-18
A. SI6-3 B.
C. D.
Street or P. O. Box: SI1-11, SI1-12, SI1-13
City, Town, or Village: SI1-14
State: SI1-15
Country: SI1-16 Zip Code: SI1-17
First Name: SI1-19 Ml: Last Name: SI1-21
SI1-20
Phone Number: S1 1-22 Extension: SI1 -23 Email address: SI1-36
August 2007
C-1
File Specification Guide
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9. Operator and
Legal Owner
of the Site
(See pages xx
to xx)
A. Name of Site's Operator:
SI9-4
Date Became Operator (mm/dd/yyyy): SI9-5
Operator Type: a Private a County a District a Federal a Indian a Municipal a State a Other
SI9-6
B. Name of Site's Legal Owner: SI9-4
Date Became Owner (mm/dd/yyyy):
SI9-5
Owner Type: Q Private Q County Q District Q Federal Q Indian Q Municipal Q State Q Other
SI9-6
Street or P. O. Box:
SI9-7, SI9-8, SI9-9
City:
SI9-10
State:
SI9-11
Country:
SI9-13
Zip Code:
SI9-12
10. Type of Regulated Waste Activity
Mark Yes or No for all activities; complete any additional boxes as instructed. (See instructions on pages xx to xx.)
A. Hazardous Waste Activities
Complete all parts for 1 through 6.
Y Q N a 1. Generator of Hazardous Waste
If Yes, choose only one of the following - a, b, or c.
SI1-25
Q a. LQG: Greater than 1,000 kg/mo (2,200 Ibs./mo.)
of non-acute hazardous waste; or
Q b. SQG: 100 to 1,000 kg/mo (220-2,200 Ibs./mo.)
of non-acute hazardous waste; or
Q c. CESQG: Less than 100 kg/mo (220 Ibs./mo.)
of non-acute hazardous waste
In addition, indicate other generator activities.
Y Q N a d. United States Importer of Hazardous Waste
SI1-26
Y Q N Q e. Mixed Waste (hazardous and radioactive) Generator
SI1-27
Y a N a 2. Transporter of Hazardous Waste
SI1-28
Y Q N Q 3. Treater, Storer, or Disposer of Hazardous
Waste (at your site) Note: A hazardous
waste permit is required for this activity.
SI1-29
YQNQ 4. Recycler of Hazardous Waste (at your
site)
SI1-30
Y J N J 5. Exempt Boiler and/or Industrial Furnace
If Yes, mark each that applies.
Q a. Small Quantity On-site Burner
Exemption SI1-31
Q b. Smelting, Melting, and Refining Furnace
Exemption SI1-32
Y Q N Q 6. Underground Injection Control
SI1-33
August 2007
C-2
File Specification Guide
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B. Universal
YQNQ1. Large
5,000
deter
mark
a. Battf
b. Pest
c. Merc
d. Lam
e. Othe
f. Othe
g. Othe
Y Q N Q 2. Desti
Note:
activit
Waste Activities
Quantity Handler of Universal Waste (accumulate
kg or more) [refer to your State regulations to
nine what is regulated]. Indicate types of universal
all boxes that apply:
Generate Managed
3ries Q SI2-3
icides a SI2-5
ury Containing Equipment Q SI2-7
ps Q SI2-9
r (specify) SI3-2 a SI3-3 a SI3-4
r (specify)
r (specify)
a
a
a
a
nation Facility for Universal Waste
A hazardous waste permit may be required for this
y-
512-10
1 1 . Description of Hazardous Wastes
A. Waste Codes f<
at your site. Lisl
more spaces are ne
SI4-2
C. Used Oil Activities
Mark all boxes that apply.
Y Q N Q 1. Used Oil Transporter
If Yes, mark each that applies.
Q a. Transporter SI2-11
Q b. Transfer Facility SI2-12
Y Q N Q 2. Used Oil Processor and/or Re-refiner
If Yes, mark each that applies.
Q a. Processor SI2-13
Q b. Re-refiner SI2-14
Y Q N Q 3. Off-Specification Used Oil Burner SI2-15
Y Q N Q 4. Used Oil Fuel Marketer
If Yes, mark each that applies.
Q a. Marketer Who Directs Shipment of
Off-Specification Used Oil to
Off-Specification Used Oil Burner
SI2-16
Q b. Marketer Who First Claims the Used
Oil Meets the Specifications SI2-17
(See instructions on page xx)
ar Federally Regulated Hazardous Wastes. Please list the waste codes of the Federal hazardous wastes handled
them in the orderthey are presented in the regulations (e.g., D001, D003, F007, U112). Use an additional page if
eded.
B. Waste Codes for State-Regulated (i.e., non-Federal) Hazardous Wastes. Please list the waste codes of the State-regulated
hazardous wastes handled at your site. List them in the order they are presented in the regulations. Use an additional page if more
spaces are needed for waste codes.
SI5-2
12. Comments (See instructions on page xx)
SI1-35
August 2007
C-3
File Specification Guide
-------
13. Certification. I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in
accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my
inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the
information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant
penalties for submitting false information, including the possibility of fine and imprisonment for knowing violations.
(See instructions on page xx)
Signature of owner, operator, or an
authorized representative
Name and Official Title (type or print)
SI7-3, SI7-4, SJ7-5, SI7-6
Date Signed
(mm/dd/yyyy)
SI7-7
August 2007
C-4
File Specification Guide
-------
OMB#: 2050-0024 Expires 10/31/2005
BEFORE COPYING FORM, ATTACH SITE IDENTIFICATION LABEL
OR ENTER:
SITE NAME:
EPA ID NO- I I I I I I I I I I I I I I I I
GM(x)-1
U.S. ENVIRON
PROTECTION
2007 Hazardous V
WASTE GENE
FORM AND MANAG
GM
MENTAL
AGENCY
Vaste Report
RATION
EMENT
Instructions: Please see the detailed instructions beginning on page 19 of the instructions and forms booklet before completing this form.
Sec. 1 A. Waste description GM1 -11
B. EPA hazardous waste code
I I I I I I I I I I GM2 •>
I I I I I I I I I I I I I I I
D. Source code E. Form code
|G| I I GM1 8 |W| ! ! !
GM1-3
Management Method code for Source code G25
|H| i i i GM1 7
C. State hazardous waste code
I I I I I I I I I I I I I
F. Quantity generated in 2007
I I I I I I I I I I I
GM1-9
GM3-3
J
G. UOM | |
GM1-4
Density
GM1-5
n Ibs/gal n sg GM1-6
Sec. 2 Was any of this waste managed on site? (pages
n 1 Yes (CONTINUE TOON-SITE PROCESS SYSTEM 1) GM1-13
n 2 No (SKIP TO SEC. 3)
ON-SITE PROCESS SYSTEM 1
On-site Management Quantity treated, disposed, or
Method code recycled on site in 2007
|H| | | | RMr A I I I I I I I I I I I I nMc c
ON-SITE PROCESS SYSTEM 2
On-site Management Quantity treated
Method code recycled on site
I H | | | | I I I I I I I
disposed, or
in 2007
i i i i i
Sec. 3 A. Was any of this waste shipped off site in 2007 for treatment, disposal, or recycling? (pages 25 and 26)
n 1 Yes (CONTINUE TO BOX B) n 2 No (FORM IS COMPLETE) GM1-14
Site 1 B. EPA ID No. of facility to which waste was C. Off-site Manac
shipped Shipped to
GM4-5 GM4-4
Cement Method code D. Total quantity shipped in 2007
i i i i i i i i i i i i
GM4-6
Comments: GM1-12
August 2007
C-5
File Specification Guide
-------
OMB#: 2050-0024 Expires 10/31/2005
BEFORE COPYING FORM, ATTACH SITE IDENTIFICATION LABEL
OR ENTER:
SITE NAME:
FORM
WR
U.S. ENVIRONMENTAL
PROTECTION AGENCY
2007 Hazardous Waste Report
WASTE RECEIVED
FROM OFF SITE
Instructions: Please see the detailed instructions beginning on page 27 of the instructions and forms booklet before completing this form.
Waste
1
A. Description of hazardous waste
WR1-12
B. EPA hazardous waste code
I I I I I I I I I I
WR2-4
i i i i i i i i i i
C. State hazardous waste code
I I I I I I I
I I I I I I I
WR3-4
D. Off-site handler EPA ID number
I I I I I I I I I I I I I I I
J
WR1-9
E. Quantity received in 2007
I I I I I I I I I I I
WR1-10
F. UOM Density
WR1-5
—I—I . I—I—I WR1-6
n 1 Ibs/gal n2sgWR1-7
3. Form code
H. Management Method code
LHI I I I WR1-8
Comments:
WR1-13
August 2007
C-6
File Specification Guide
-------
BEFORE COPYING FORM, ATTACH SITE IDENTIFICATION LABEL OR
ENTER:
SITE NAME:
EPA ID NO: I I I I I I I I I I I I I I I I
OI1-1
FORM
Ol
U.S. ENVIRONMENTAL
PROTECTION AGENCY
2007 Hazardous Waste Report
OFF-SITE
IDENTIFICATION
Instructions: Please read the detailed instructions on the reverse side before completing this form.
A. EPA ID No. of off-site installation or transporter B. Name of off-site installation or transporter
~t^. I I I I I I I I I I I I I I I I nM o OI1-7
oite i wi i-o
C. Handler type (CHECK ALL THAT APPLY)
n Generator OH -4
n Transporter OI1-5
n TSDR facility OH -6
D. Address of off-site installation
Street OH -8, OH -9
City OH -10 State I I I
Zin I I I I I "I I I I I on 12 OH
11
A. EPA ID No. of off-site installation or transporter B. Name of off-site installation or transporter
~it_0 I I I I I I I I I I I I I I I I
oite f.
C. Handler type (CHECK ALL THAT APPLY)
n Generator
n Transporter
n TSDR facility
D. Address of off-site installation
Street
City State I — I — I
Zin I I I I I "I I I I I
A. EPA ID No. of off-site installation or transporter B. Name of off-site installation or transporter
~it ~ I I I I I I I I I I I I I I I I
oite j
C. Handler type (CHECK ALL THAT APPLY)
n Generator
n Transporter
n TSDR facility
D. Address of off-site installation
Street
City State I I I
Zin I I I I I -I I I I I
Comments:
OI1-13
August 2007
C-7
File Specification Guide
-------
APPENDIX D
FLAT FILE HIERARCHY
-------
SI1"
APPENDIX D - Flat File Hierarchy
GM1'
SI4
SIS
SI6*
SI7*
GM2*
GM3
GM4*
GM5*
* These flat files contain required data elements.
NOTE: The Oil flat file should never be included in the submission to RCRAInfo.
August 2007
D-1
File Specification Guide
-------
APPENDIX E
State Postal Codes
-------
APPENDIX E - State Postal Codes
State Name
Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida
Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Postal
Code
AL
AK
AS
AZ
AR
CA
CO
CT
DE
DC
FL
GA
GU
HI
ID
IL
IN
IA
KS
State Name
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Navajo Nation
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Postal
Code
KY
LA
ME
MD
MA
MI
MN
MS
MO
MT
NN
NE
NV
NH
NJ
NM
NY
NC
ND
State Name
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Trust Territories
Utah
Vermont
Virgin Islands
Virginia
Washington
West Virginia
Wisconsin
Wyoming
Postal
Code
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
TT
UT
VT
VI
VA
WA
WV
WI
WY
August 2007
E-1
File Specification Guide
-------
End of document.
------- |