SEPA
United States
Environmental Protection
Agency
Office of Resource
Conservation and Recovery
Washington, DC 20460
Created Jun. 2009
Revised Feb. 2010
RCRAInfo
File Specification Guide
2009 Hazardous Waste
Report Submissions
RCBA
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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 3
1.5 Questions/Comments 3
2.0 CHANGES FROM PREVIOUS CYCLES 4
2.1 New Regulations 4
2.2 Received Date 4
2.3 Waste Minimization 4
2.4 Include in National Report (WR1 File) 5
2.5 Required Data Elements 5
2.6 Loading Data into the Production Environment 5
2.7 Control File 5
3.0 DATA SUBMISSION OVERVIEW 6
3.1 Data Requirements 6
3.2 Data Submission 7
3.2.1 User Access and Permissions 7
3.2.2 Flat File Submissions 7
3.3 Amount of Data in a Single Submission 8
3.4 States/Regions not using the 2007 Hazardous Waste Report, Instructions and Forms.... 8
3.4.1 Identify Sites 8
3.4.2 Access Equivalent Data 8
3.4.3 Data Quality/Equivalency 9
3.4.4 Write Translated Data to Flat Files 10
4.0 TECHNICAL SPECIFICATIONS 11
4.1 Include in National Report Flags 11
4.2 State Generator Status 11
4.3 Rules and Format Conventions Required for Data Flat Files 11
4.3.1 Alphanumeric Fields 11
4.3.2 Integer Fields 12
4.3.3 Fixed Decimal Fields 12
4.3.4 Sequence Number Fields 13
4.3.5 Negative Numbers 13
4.4 Record Termination 13
4.5 Empty Fields 13
4.6 Confidential Business Information (CBI) 13
5.0 SUBMISSION AND STATUS REPORT INSTRUCTIONS 14
5.1 Step-by-Step Instructions for BR Submissions 14
5.2 Status Report 17
5.2.1 Files Submitted 17
5.2.2 Errors Detected 18
5.2.3 Loading Data 20
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APPENDIX A - FLAT FILE SPECIFICATIONS AND DATA EDITS A-1
A.1 Key For Flat File Tables A-1
A.2 Flat File Naming Convention A-1
FLAT FILE ID# - SI1(HHANDLER5) A-2
511 Flat File Edit Specifications A-6
FLAT FILE ID# - SI2 (HOWNER_OPERATOR5) A-10
512 Flat File Edit Specifications A-11
FLAT FILE ID# - SI3 (HNAICS5) A-12
513 Flat File Edit Specifications A-13
FLAT FILE ID# - SI4 (HWASTE_CODE5) A-14
514 Flat File Edit Specifications A-15
FLAT FILE ID# - SI5 (HWASTE_CODE5) A-16
515 Flat File Edit Specifications A-17
FLAT FILE ID# - SI6 (HUNIVERSAL_WASTE5) A-18
516 Flat File Edit Specifications A-19
FLAT FILE ID# - SI7 (HCERTIFICATION5) A-20
517 Flat File Edit Specifications A-21
FLAT FILE ID# - SI8 (HSTATE_ACTIVITY5) A-22
518 Flat File Edit Specifications A-23
FLAT FILE ID# - SI9 (HHSM_BASIC5) A-24
519 Flat File Edit Specifications A-25
FLAT FILE ID# - SI A (HHSM_ACTIVITY5) A-26
SIA Flat File Edit Specifications A-27
FLAT FILE ID# - SIB (HHSM_WASTE_CODE5) A-28
SIB Flat File Edit Specifications A-29
FLAT FILE ID# - GM1 (BGM_BASIC) A-30
GM1 Flat File Edit Specifications A-32
FLAT FILE ID# - GM2 (BGM_WASTE_CODE) A-34
GM2 Flat File Edit Specifications A-35
FLAT FILE ID# - GM3 (BGM_WASTE_CODE) A-36
GM3 Flat File Edit Specifications A-37
FLAT FILE ID# - GM4 (BGM_OFFSITE_SHIPMENT) A-38
GM3 Flat File Edit Specifications A-39
FLAT FILE ID# - GM5 (BGM_ONSITE_TREATMENT) A-40
GM4 Flat File Edit Specifications A-41
FLAT FILE ID# - WR1 (BWR_BASIC) A-42
WR1 Flat File Edit Specifications A-43
FLAT FILE ID# - WR2 (BWR_WASTE_CODE) A-44
WR2 Flat File Edit Specifications A-45
FLAT FILE ID# - WR3 (BWR_WASTE_CODE) A-46
WR3 Flat File Edit Specifications A-47
FLAT FILE ID#-011 A-48
APPENDIX B - HAZARDOUS WASTE REPORT ANNOTATED FORMS B-1
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1.0 INTRODUCTION
This document describes the file specifications for reporting data for the 2009 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 2009 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 2009 Hazardous Waste Report, Instructions and Forms
in your possession while using this guide. Copies of the 2009 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 2009 Hazardous Waste Report Submissions is divided into five
sections:
Section 1 (Introduction) defines the intended audience for this guide, offers a brief description of
the forms contained in the 2009 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.
Section 5 (Submission and Status Report Instructions) will provide detailed instructions on how
to submit Biennial Report flat files to RCRAInfo via the RCRAInfo production application. This
section will be provided once the RCRAInfo interface has been created.
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 2009 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 2009
Hazardous Waste Report.
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(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 2009 Hazardous Waste
Report, Instructions and Forms and 2) understands basic computer concepts and terminology.
1.3 Hazardous Waste Report Forms
The 2009 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 fourteen items and an addendum.
States and Regions submit Site ID form information via the S11, SI2, SI3, SI4, SI5, SI6,
SI7, SI9, SIA, and SIB flat files.
Note: The SI8 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.
GM Form
The Waste Generation and Management Form (GM Form) is used for reporting on-site
hazardous waste generation, management, and off-site shipment. The GM Form 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.
WR Form
The Waste Received from Off-site Form (WR Form) identifies hazardous wastes that
were received from other hazardous waste sites and the method(s) used to manage
them. The WR Form 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 2009
and managed on-site. States and Regions submit WR form information via the WR1,
WR2, and WR3 flat files.
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01 Form
The Off-site Identification Form (01 Form) captures the names and addresses of off-site
installations and transporters. 01 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., GM Form, Section 1, Block D, source code). These data elements are
captured in the primary flat file for that form (e.g., S11, GM1, and WR1). Information that relates
to the form in a many-to-one (n: 1) relationship (e.g., GM Form, Section 1, Block B, EPA
hazardous waste codes) is captured in secondary flat files (e.g., GM2, GM3, GM4, GM5, WR2,
WR3).
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 User Support
Issue Tracking System (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 the
appropriate State or EPA Regional personnel. For a list of the appropriate contacts see:
http://www.epa.gov/osw/inforesources/data/form8700/contact.pdf.
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CHANGES FROM PREVIOUS CYCLES
RCRAInfo Version 5 addresses changes to the Handler and Waste Activity Monitoring modules
within RCRAInfo. Many structure changes were made to: 1) accommodate the addition of new
regulations; 2) remove obsolete information; 3) capture additional information; and 4)
incorporate specific user community enhancement requests. The 2009 Biennial Report flat file
specifications have been revised to mimic the structure changes made. The flat files are still
identified using the SI, GM, and WR prefixes, however, their structure and definition have no
relation to previous cycles. For example, the SI2 file in the 2009 specifications captures the
owner/operator information whereas in previous cycles, the SI2 file captured the handler
universal waste and used oil activities.
It is IMPERATIVE that you review and incorporate the NEW flat file structure into your software
or BR process. Below is a highlight of the changes that were made. This is NOT a complete list
of changes.
2.1 New Regulations
In Fall 2008, EPA Administrator Stephen Johnson signed two final rules affecting Subtitle C
facilities: 1) Revisions to the Definition of Solid Waste (DSW) and, 2) Hazardous Waste at
Academic Laboratories. Information for these rules is to be collected via the Site Identification
Form and Addendum and may be submitted as part of the Biennial Report collection. The DSW
information is captured in the SI9 - SIB flat files. The Academic Laboratories Rule information
is collected within SI1 (SUBPART_K_COLLEGE, SUBPART_K_HOSPITAL, SUBPART_K_
NONPROFIT, and SUBPART_K_WlTHDRAWAL).
2.2 Received Date
For cycles prior to 2007, the Received Date (RECEIVE_DATE) in HHANDLER was populated
with the date that the BR data was loaded into RCRAInfo by the State or Region. In 2007, the
Received Date was populated with the most recent Certification Date (CERT_SIGNED_DATE)
of the submission for that handler. For the 2009 cycle, the Received Date will be submitted by
the State or Region via the SI1 file. This allows the regulator to indicate when they received the
information from the handler. The universe calculations within RCRAInfo will use the
Certification Date to determine the most recent information about a facility.
2.3 Waste Minimization
40 CFR 262.41(a)(6), 264.75(h), and 265.75(h) require that data be collected for waste
minimization activities. This data is useful to assist sites requesting help with waste reduction
for specified waste streams and pollution prevention efforts to identify and connect with other
sites that have reported positive or negative results when attempting waste reduction for those
waste streams. Waste Minimization Code (WASTE_MIN_CODE) will be added to the GM1 flat
file in column 34.
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2.4 Include in National Report (WR1 File)
The INCLUDE_IN_NATIONAL_REPORT data element in the WR1 flat file has been moved
from column 66 in the 2007 BR Flat File Specifications to column 31. The DESCRIPTION has
subsequently moved to column 66 and the NOTES to column 306.
2.5 Required Data Elements
In previous cycles, handlers submitted data either solely for the Biennial Report
(SOURCE_TYPE = 'R') or as a component of the Biennial Report and as notification of
hazardous waste activity (SOURCE_TYPE = 'B'). The data edits varied in some instances if
the handler was submitting an 'R' source record or a 'B' source record. Since the edits for the
2009 BR cycle mimic the edits required for a notification record, the 2009 BR cycle will accept
ONLY 'B' source records (i.e., all records will be as a component of the Biennial Report and as
a notification of hazardous waste activity). All data must meet the edit requirements of a
notification record including the required location and mailing address, contact information,
owner/operator information, certification information, NAICS, and waste activities. Additional
edit requirements for notification records (including source "B" records) were added for V5,
including edits making waste codes mandatory under certain conditions. Please see the V5
High Level Design for information about these changes.
2.6 Loading Data into the Production Environment
For the 2009 cycle, the State or Region will submit their data to the RCRAInfo production
database using the RCRAInfo production application. The zip file provided by the user will be
loaded into "staging" tables and processed to determine if the data in the files meets ALL of the
edit specifications. If the data meets ALL of the edit specifications, the data in the SI files will be
loaded directly into the corresponding production handler tables. The data in the GM and WR
files will remain in the "staging" tables until the cycle is completed at which time the data will be
moved from the "staging" tables to the production tables. Loading the SI1 files directly into the
production tables alleviates previous issues with the universe calculations and reports the
handler information in a more timely manner. If the data does not meet ALL of the edit
specifications, the errors will be reported via the Load Status Report and the data will NOT be
loaded into the RCRAInfo production tables.
The BR load process will NOT utilize the CDX interface as it has in the past. Details on how to
load data via the RCRAInfo production application will be provided in Section 5 of this document
at a later date.
2.7 Control File
Historically, BR submissions have been accompanied by a "control" file which indicated the BR
flat files that were included in the submission. This control file was necessary to ensure that the
CDX interface and the RCRAInfo database were communicating properly. As stated above, the
2009 BR data will be submitted via the RCRAInfo production application. Therefore, for the
2009 BR submissions, the user will not include a control file in their submission.
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3.0 DATA SUBMISSION OVERVIEW
3.1 Data Requirements
Data collected via the 2009 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.
States and Regions are encouraged to provide as much data (required or not required) as
possible. This information enhances the analytical usefulness of the Hazardous Waste Report
data within RCRAInfo.
State, Regional, and commercial software packages must provide data for required data
elements. Flat files containing required data elements include:
• Site ID Form data (RCRA Subtitle C Site Identification Form):
Flat Files SI1, SI2, SI3, SI4, SI6, SI7
• GM Form data (Waste Generation and Management):
Flat Files GM1, GM2, GM4, and GM5
• WR Form data (Waste Received from Off-site):
Flat Files WR1 and WR2
Additionally, States who allow facilities to manage hazardous secondary material under 40 CFR
261.2(a)(2)(H), 40 CFR 261.4(a)(23), (24), or (25) may submit their required re-notification of
hazardous secondary material activity using the following flat files:
• Site ID Form Addendum data (Hazardous Secondary Material):
Flat Files SI9, SIA, and SIB
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 A.
To successfully load data into RCRAInfo, all data elements for every submitted flat file must
meet formatting and data quality standards. See Appendix A for specifications on standards
and formats for all flat files.
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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 for 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 submitted to RCRAInfo in accordance with the Memorandum of Understanding
between the Region and the State. The data is transferred to RCRAInfo 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.
3.2.1 User Access and Permissions
The user must have the following access and permissions to successfully submit flat files to
RCRAInfo:
• User ID and password for the RCRAInfo production application;
• Granted the translation "role" within the database;
• Have Level 4 (read, add, update, and delete) permissions for the Biennial Report
module;
• Be the implementer of record for the information being submitted.
Please contact your State or Regional system administrator to obtain a RCRAInfo ID and
password, to receive the required permissions, and/or to set implementer of record settings. To
obtain the translation "role", please contact Idali Gotay (qotav.idali@epa.gov).
3.2.2 Flat File Submissions
The RCRAInfo application provides an interface for submitters to upload a ZIP file from their
local file location to the RCRAInfo staging tables. The uploaded file must be in the form of a ZIP
file. These files must be:
- flat files;
- column delimited;
- formatted such that each record in the file is followed by a carriage return/line feed;
- formatted per the flat file specification's documented in this booklet.
A submitter is limited to filing data for one State per ZIP file.
Before the file is uploaded, the RCRAInfo interface will validate the zip file name by the following
criteria:
- the first three (3) characters are the program abbreviation: RCR
- the next four (4) characters are program-specific: 2-letter State abbreviation followed by
the submission number (e.g., KS01)
- the last three (3) characters are the TSSMS ID of the user submitting the files.
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An example file name would be RCRKS01SIX.ZIP. Note: The activity location (state code)
embedded in the file name must match the state code associated with the RCRAInfo agency of
the submitter that is filing the information.
If the file name does not pass validation, the RCRAInfo interface will provide the submitter with
a message describing the error and prompt the submitter to correct the error in order to
complete the file upload process.
3.3 Amount of Data in a Single Submission
Each data submission must contain ALL data for the State being submitted. Each data
submission will overwrite ALL existing 2009 Hazardous Waste Report data for the State in the
RCRAInfo database.
3.4 States/Regions not using the 2009 Hazardous 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 2009 Hazardous Waste Report, Instructions and
Forms. Translators are required to provide data equivalent to that collected by the 2009
Hazardous Waste Report, Instructions and Forms (required data elements). The following
information is provided to help translators become familiar with the steps necessary to ensure a
successful data submission:
• Identify all sites for which information is to be translated.
• Access information that is equivalent to the 2009 Hazardous Waste Report data.
• Validate that the equivalent data conforms to the appropriate data quality standards.
• Write translated data to appropriate flat files.
3.4.1 Identify Sites
The State/Region must submit information for sites required to file the 2009 Hazardous Waste
Report, Instructions and Forms. The criterion that defines these sites is presented in the 2009
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 2009 Hazardous Waste Report, Instructions and Forms.
3.4.2 Access Equivalent Data
The required data elements for the sites being reported must be provided. The translator
State/Region must identify, in their system, the data elements and relationships equivalent to
the data elements/relationships represented by the flat file specifications provided in Appendix
A.
The GM Form, WR Form, and Ol Form allow for multiple form submissions by a handler.
Translator States/Regions must also accommodate multiple "forms" by a handler as follows:
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GM Form
The GM Form 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 on the GM Form 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 2009 Hazardous Waste
Report, Instructions and Forms. For vendors supporting the 2009 Hazardous Waste
Report, Instructions and Forms, page number should be the same as the number
assigned by the respondent to the actual form.)
WR Form
The WR Form 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 on the WR Form and is incremented by one
(1) with each separate received waste reported. The sub-page number for the WR Form
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 2009 Hazardous Waste
Report, Instructions and Forms. For vendors supporting the 2009 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.)
Ol Form
The Ol Form 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 Ol 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 A) in order to provide information comparable to data gathered with the 2009
Hazardous Waste Report, Instructions and Forms and to be properly loaded into the RCRAInfo
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database. Any data failing to conform to the appropriate data quality edits will result in the
entire data submission to RCRAInfo being rejected.
Appendix B contains an annotated copy of the 2009 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 A.
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 A. A complete translation may not
necessarily include all flat files. For example, a translator submitting SI Form data is not
required to include the "SI8" flat file (state activity) 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., S11, GM1, WR1) may have one or more child relationships
with other flat files (i.e., SI2-SIB, 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).
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.
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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 sub-sections detail the correct field formats for the data in the flat files.
4.3.1 Alphanumeric Fields
Alphanumeric fields are identified in Appendix A 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".
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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.
4.3.2 Integer Fields
Integer fields are identified in Appendix A 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
CORRECT
1A
1
10,000
10000
750.25
750
Exhibit 2. Incorrect and Correct Integer Entries
4.3.3 Fixed Decimal Fields
Fixed place decimal fields are identified in Appendix A 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 2009 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
CORRECT
10,032.1
10032.10
10,032A
10032
Exhibit 3. Incorrect and Correct Fixed Decimal Entries
June 2009
12
File Specification Guide
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4.3.4 Sequence Number Fields
Some of the files in Appendix A require a sequence number to be provided for each record.
The SI3 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 "0001" 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 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.
4.5 Empty Fields
For fields that require no response, the field should be filled with the space character (i.e.,
blanks).
4.6 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 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.
June 2009
13
File Specification Guide
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5.0
SUBMISSION AND STATUS REPORT INSTRUCTIONS
5.1
Step-by-Step Instructions for BR Submissions
The following step-by-step submission instructions assume that you have obtained the
necessary user ID / passwords and access for the RCRAInfo application. The steps provided
below illustrate how to submit a BR flat file into the RCRAInfo production environment.
Step 1 - Open Internet Explorer and go to the RCRAInfo URL - https://rcrainfo.epa.gov
(Production RCRAInfo website) or https://rcrainfopreprod.epa.gov (Pre-production
RCRAInfo website)
Step 2 - On the Warning Notice page click "here" to agree to the terms and continue
Step 3 - On the RCRAInfo page, provide your RCRAInfo user ID and password and click "Log
on"
Step 4 - From the RCRAInfo Main Menu, click "Upload Data" located under "Translate Data"
Select a Handler for Data Maintenance
My RCRA ID Submissions
Multi-site Consent Agreement/Final Orders [CAFOs)
Commitment Maintenance
Mews Alerts and General Information
Contact Lists, System Documentation, Security
Translate Data
Upload Data
National and Implementer Reports
Handler, Permitting, Corrective Action, CM&E, Financial Assurance
BARRT
Utilities
Change Password, User Preferences, Groups of IDs, Status Reports
System Administration
System Administrators, User Maintenance, Lookup Maintenance
USITS
Change Management
Message Board
Exit RCRAInfo
Step 5 - From the Load Translation Files screen, select a Module Type of "Biennial Report", an
Upload Type of "Full Replace", and a Report Cycle of "BR 2009".
Module Type
Upload Type
Report Cycle
® Biennial Report
O Transactional
Report Cycle: v
O Compliance, Monitoring & Enforcement
O Partial
O Corrective Action
® Full Replace
O Financial Assurance
O Delete
O GIS
O Handler
O Permitting
June 2009
14
File Specification Guide
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Step 6 - Provide the name of the zip file containing the BR data (i.e., c:\flatfiles\rcrfl01six.zip) by
typing it in the "File Name:" or using the "Browse" button
Upload Data (Please use the Browse button to select the file to upload.)
File Name: |c:\flatfiIes\rcrflOlsixzip | Browse...
Step 7 - Click the "Load Data" button
Step 8 - You will receive the message "File Upload is Valid" and the name of the flat files found
in the zip file will be displayed
File Upload is Valid
File Names Found: flwr2001.fil flgm1001.fil flgm2001.fil flgm4001.fil flgm5001.fil flsi1001.fil flsi2001.fil flsi3001.fil flsi4001.fil flsi6001.fil flsi7001.fil flwr1001.fil
Step 9 - Click "Initialize and Load Staging Tables"
Step 10 -A message will appear indicating that the staging tables are being loaded
Loading Tables. Please wait...
Thu Feb 11 10:39:01 EST 2010
Step 11 -The "Confirmation of Biennial Report Upload" screen will be displayed showing each
file in the submission and the number of records received for each file. It will also
indicate if any load errors were encountered by adding "with errors" after the record
count. Click the "with errors" link to determine what load errors were encountered.
June 2009
15
File Specification Guide
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Total Number of Records Received
57517 BWR Federal Waste Code record(s) received.
6087 BGM Basic record(s) received.
18713 BGM Federal Waste code record(s) received.
6846 BGM Offsite Shipment record(s) received.
58 BGM Onsite Treatment record(s) received.
324 SI1 (HHANDLER5) record(s) received.
660 SI2 (HOWNER_OPERATOR5) record(s) received.
380 SI3 (HNAICS5) record(s) received.
5657 SI4 (HWASTE_CODE5 [EPA]) record(s) received
38 SI6 (HUNIVERSAL WASTE5) record(s) received.
330 SI7 (HCERTIFICATION5) record(s) received.
19582 BWR Basic record(s) received.
12 Control Records Were Built
Step 12 -Click "Continue"
Step 13 -The Status Report screen will be displayed (depending on the size of the load, it may
take several minutes for the Status Report screen to be displayed)
Step 14 -Click the "Biennial Report Load" radio button and use the drop-down list to specify you
state. Click "Run Report".
® Biennial Report Load
O Translator Load
O Universe Calculations
O GPRA Update
For BR or Translator Status Reports, please select a State to view:
FLORIDA
For Translator Status Reports, please select a Module:
I Select a Module
June 2009 16 File Specification Guide
-------
Step 15 -At the bottom of the Status Report you should see the message "Translation has
finished successfully" or "Translation has FAILED - Please review your error
messages". If you get the "Translation has finished successfully" message, you
submission was successful and your data was loaded into RCRAInfo. If you get the
"Translation has FAILED..." message, your submission was not successful and you
need to proceed to Step 16.
Step 16 - Review the Status Report to see the errors that were detected. You must correct the
errors in the flat files and go back to Step 1.
5.2 Status Report
The Status Report provides the user with information regarding the processing of the BR load.
See Step 14 above to access the Status Report in RCRAInfo.
The Status Report contains information on the files submitted, the errors detected, and the
status of loading data into RCRAInfo.
5.2.1 Files Submitted
The top portion of the Status Report shows the flat files submitted and the number of records
received. You should see one record for each file submitted. The record counts are provided
so that you know how much data was received by RCRAInfo. If these record counts are not
correct, you will need to resubmit all of your files.
, 02/11 ''2010 10:43:04 Translating BR 2009 data for FL
02/11/2010 10:43:04 I File: S11, Records: 324 received.
02/11/2010 10:43:04
File: SI2. Records: 880 received.
02/11/2010 10:43:04
File: SI3. Records: 380 received.
02/11/2010 10:43:04
File: SI4. Records: 5657 received.
02/11/201010:43:04
File: SIB. Records: 38 received.
02/11/201010:43:04
File: SI7. Records: 330 received.
02/11/2010 10:43:04
File: GM1, Records: 6087 received.
02/11/2010 10:43:04
File: GM2, Records: 18713 received.
02/11/2010 10:43:04
File: GM4. Records: 8846 received.
02/11/2:010 10:43:04
File: GM5, Records: 58 received.
02/11/2010 10:43:04
File: WR1. Records: 19582 received.
02/11/2010 10:43:04
File: WR2. Records: 57517 received.
June 2009
17
File Specification Guide
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The status report will then show every file within the module (including files that were not
submitted) indicating the number of records in each file, the number of records which do not
have any edit errors, and the number of records that do have edit errors. If any of the files
contain data edit errors, then NO data from the submission will be loaded into RCRAInfo. If the
data does contain errors, you will have to correct the errors in the flat files and resubmit the
entire load.
02/1112010 10:43:26
02/11/2010 10:43:26
0211112010 10:43:26
02/1112010 10:43:28
02/11/2010 10:43:28
02/11/2010 10:43:27
02/11/2010 10:43:27
02/11-2010 10:43:27
02/11/2010 10:43:27
02/11/2010 10:43:27
02/11=2010 10:43:27
02/11 *2010 10:43:27
02m <2010 10:43:27
02/11/2010 10:43:27
02/11-'2010 10:43:27
02/11/2010 10:43:27
02/11/2010 10:43:27
| Processing edit checks for file 811,
Completed edit checks for SI1. 0 records have errors,
j Processing edit checks for file SI2.
j Completed edit checks for SI2. 0 records have errors,
j Processing edit checks for file SI3.
Completed edit checks for SI3. 0 records have errors.
Processing edit checks for file SI4.
, Completed edit checks for SI4. 0 records have errors.
: FL has no records in file SIS.
: Processing edit checks for file SI6.
; Completed edit checks for SI6. 0 records have errors.
Processing edit checks for file 3I7.
| Completed edit checks for SI7. 0 records have errors.
• FL has no records in file SIS.
FL has no records in file SI9.
FL has no records in file SI A.
FL has no records in file SIB.
5.2.2 Errors Detected
The status report will show all of the errors detected within the BR load, reporting the flat file in
error, the record number in error, and the key fields for the record. Additionally, information
regarding the error will be given, often making references to the error numbers in the BR Flat
File Specification. All errors must be corrected and the flat files resubmitted before any data will
be moved to the RCRAInfo tables.
The BR load process attempts to detect all errors so that the user can correct as many errors as
possible before reloading the data. However, to make the report manageable to the user, only
June 2009
18
File Specification Guide
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the first 200 errors are reported. Additionally, correcting an error may create another error, so it
is very important to always verify that your load is error-free in the status report.
02/11/2010
11:27:04
. - • :i Rec: 6 Key ?TZE-TE:""^06, Receive Date; 12-31-2006. RECEI" ~"TE ist be >= 1/1/2009 and <= Today, See
511-016,
02/11/2010
11:27:04
" - "1 Rec:? Key ?IZErTE5" *07, Receive Date; 12-31-2010, RECI IE ist be >= 1/1/2009 snd <= Today, See
511-016.
02111/2010
11:27:04
File:SIl Rec:3 Key; RIDBRIEST003, Receive Date: , RECEIVE DATE must be >= 1/1/2009 and <= Today. See SI1-G16.
02/11/2010
11:27:04
..1 Rec:9 Keys RIDBRTEST009. The HANDLER NAME must be provided. See SI1-020.
02/11/2010
11:27:04
File:SI1 Rec:10 Key: RIDBRTEST010. The LOCATION STREET1 must be provided. See SI1-030,
02/11/2010
11:27:04
File;SI1 Rec:11 Key: RIDBRTEST011, The LOCATION CITY must be provided. See SI1-040.
02/11/2010
11:27:04
File;SIl Rec;12 Key; RIDBRIEST012, Location State;KS. LOCATION STATE does not equal the first two characters of
the HANDL1
R ID.
June 2009
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File Specification Guide
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5.2.3 Loading Data
Once the load is error free, the data in the SI files will be moved to the RCRAInfo production
tables and a BR staging environment. The GM and WR files will be moved to the BR staging
environment but will NOT be moved to the RCRAInfo production tables until the BR Cycle is
final. The status report will show if the data has been successfully moved to the RCRAInfo
production and BR staging tables.
02/11/2010 10:47:03
02/11/2010 10:47:04
0211112010 10:47:05
02/11/2010 10:47:08
02/11/2010 10:47:08
02/1112010 10:47:13
02111/2010 10:47:13
02/11/2010 10:47:14
02/11/2010 10:47:14
02/11/2010 10:47:33
02/11/2010-10:47:33
02111/2010 10:47:33
02/11/2010 10:47:33
02/11/2010 10:47:34
02/11/2010 10:47:34
02/11/2010 10:47:34
02/11/2010-10:47:34
02/11/2010 10:47:34
02/11/2010 10:47:34
02/11/2010 10:47:34
Loading 2009 BR data into RCRAINFO tables
Completed translation load into HBASIC from SI1
Loading data from SI1 into HHANDLER5.
Completed loading data from SI1 into HHANDLER5.
Loading data from SI2 into HOvYNER_OPERATOR5,
Completed loading data from SI2 into HOv'vN E R_0 P E RATO R 5.
Loading data from 313 into HNAIC35.
Completed loading data from SI3 into HNAICS5.
Loading data from SI4 into H'.s:ASTE_CODE5.
Completed loading data from SI4 into HvVASTE_CODE5.
Loading data from 315 into HvVASTE_CODE5.
Completed loading data from S15 into RCRAlNFO.HWASTE_CODEE
Loading data from 316 into HUN(VERSAL_WASTE5.
Completed loading data from SI6 into HUN!VERSAL_WASTE5.
Loading data from SI7 into HCERTIFICATION5.
Completed lo-ading data from SI7 into HCERTIFICATION5.
Loading data from SI8 into HSTATE_ACTIVITY5.
Completed loading data from SIB into HSTATE_ACTIVITY5.
Loading data from SI9 into HHSM_BASIC5.
Completed loading data from SI3 into HHSM_BASIC5.
June 2009
20
File Specification Guide
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Upon completion of the BR load process (either successful or unsuccessful), the status report
will indicate that process has been completed.
I 02/11/2010 10:48:31 Translation has finished successful!,
I
or
I Translation has FAILED - Please review your error messages.
June 2009
21
File Specification Guide
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APPENDIX A
Flat File Specifications and Data Edits
-------
A.1
Key For Flat File Tables
Data Type
A Alphanumeric
I Integer
D Fixed Decimal
A.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 SI3 file, containing KS data, produced on January 4th, is
KSSI3004.FI L.
June 2009
A-1
File Specification Guide
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A.3 Flat File Specifications and Data Edits
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
"WR" files must also be present in this file.
'GM" or
Key Fields: Handler ID (HANDLERJD)
. Each record in the SI1 file must contain a unique Handler ID.
Note: The SI1 file is REQUIRED. One record must be provided for each handler.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI1-010,
S11-015,
S11-490,
S11-500,
S11-510,
S11-520
RECEIVE DATE
13
8
Date
Received Date
Required
S11-016
HANDLER NAME
21
80
A
Handler Name
SI-3
Required
S11-020
LOCATION STREET NO
101
12
A
Location Street Number
SI-4
LOCATION STREET 1
113
30
A
Location Street 1
SI-4
Required
SI1-030
LOCATION STREET2
143
30
A
Location Street 2
SI-4
LOCATION CITY
173
25
A
Location City
SI-4
Required
S11-040
LOCATION STATE
198
2
A
Location State
SI-4
Cond.
Required
S11-050,
S11-060
LOCATION ZIP
200
14
A
Location Zip
SI-4
Required
SI1-070
COUNTY CODE
214
5
A
Location County Code
SI-4
Cond.
Required
S11-080,
S11-085
June 2009
A-2
File Specification Guide
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Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
LOCATION COUNTRY
219
2
A
Location Country Code
SI-4
S11-050,
S11-060,
S11-080,
S11-085,
S11-090,
S11-530,
S11-540
STATE DISTRICT
221
10
A
State District
S11-095
MAIL STREET NO
231
12
A
Mailinq Street Number
SI-7
MAIL STREET1
243
30
A
Mailinq Street 1
SI-7
Required
SI1-100
MAIL STREET2
273
30
A
Mailing Street 2
SI-7
MAIL CITY
303
25
A
Mailing City
SI-7
Required
SI1-110
MAIL STATE
328
2
A
Mailing State
SI-7
Cond.
Required
S11-120,
S11-130
MAIL ZIP
330
14
A
Mailing Zip
SI-7
Required
S11 -140
MAIL COUNTRY
344
2
A
Mailing Country Code
SI-7
S11-120,
S11-130,
S11-150
LAND TYPE
346
1
A
Site Land Type
SI-5
Required
S11-160
CONTACT FIRST NAME
347
15
A
Contact First Name
SI-8
Required
S11-170
CONTACT MIDDLE INITIAL
362
1
A
Contact Middle Initial
SI-8
CONTACT LAST NAME
363
15
A
Contact Last Name
SI-8
Required
S11 -180
CONTACT STREET NO
378
12
A
Contact Street Number
SI-8
CONTACT STREET1
390
30
A
Contact Street 1
SI-8
CONTACT STREET2
420
30
A
Contact Street 2
SI-8
CONTACT CITY
450
25
A
Contact City
SI-8
CONTACT STATE
475
2
A
Contact State
SI-8
S11-190,
S11-200
CONTACT ZIP
477
14
A
Contact Zip
SI-8
CONTACT COUNTRY
491
2
A
Contact Country
SI-8
S11-190,
S11-200,
SI1-210
CONTACT PHONE
493
10
A
Contact Phone Number
SI-8
Required
S11-220
June 2009
A-3
File Specification Guide
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Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
CONTACT PHONE EXT
503
6
A
Contact Phone Number Extension
SI-8
CONTACT FAX
509
15
A
Contact Fax Number
SI-8
CONTACT TITLE
524
45
A
Contact Title
SI-8
CONTACT EMAIL
569
80
A
Contact E-mail Address
SI-8
FED WASTE GENERATOR
649
1
A
Federal Generator Status
SI-10-A-1
Required
S11-240,
S11-275,
S11-295,
S11-540
STATE WASTE GENERATOR
650
1
A
State Generator Status
Required
S11-260
SHORT TERM GENERATOR
651
1
A
Short Term or Temporary Generator
SI-10-A-1
Required
S11-270,
S11-275,
S11-277,
Si1 -540
IMPORTER ACTIVITY
652
1
A
U.S. Importer of Hazardous Waste
SI-10-A-1
Required
S11-280,
S11-540
MIXED WASTE GENERATOR
653
1
A
Mixed Waste (hazardous and
radioactive) Generator
SI-10-A-1
Required
S11-290,
S11-295,
Si1 -540
TRANSPORTER
654
1
A
Transporter of Hazardous Waste
SI-10-A-2
Required
SI1-300
TRANSFER FACILITY
655
1
A
Transfer Facility of Hazardous Waste
SI-10-A-2
Required
S11-310,
S11-540
TSD ACTIVITY
656
1
A
Treater, Storer, or Disposer of
Hazardous Waste in a Permitted Unit
SI-10-A-3
Required
S11-320,
S11-540
RECYCLER ACTIVITY
657
1
A
Recycler of Hazardous Waste
SI-10-A-4
Required
S11-330,
S11-540
ONSITE BURNER EXEMPTION
658
1
A
Small Quantity On-Site Burner
Exemption
SI-10-A-5
Required
S11-340,
S11-540
FURNACE EXEMPTION
659
1
A
Smelting, Melting, and Refining
Furnace Exemption
SI-10-A-5
Required
S11-350,
S11-540
UNDERGROUND INJECTION ACTIVITY
660
1
A
Underground Injection Control
SI-10-A-6
Required
S11-360,
S11-540
OFF SITE RECEIPT
661
1
A
Received Hazardous Waste from Off-
site
SI-10-A-7
Required
S11-362
UNIVERSAL WASTE DEST FACILITY
662
1
A
Destination Facility for Universal
Waste
SI-10-B-2
Required
S11-365,
S11-540
USED OIL TRANSPORTER
663
1
A
Used Oil Transporter
SI-10-C-1
Required
SI1-370
June 2009
A-4
File Specification Guide
-------
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
USED OIL TRANSFER FACILITY
664
1
A
Used Oil Transfer Facility
SI-10-C-1
Required
S11-380,
S11-540
USED OIL PROCESSOR
665
1
A
Used Oil Processor
SI-10-C-2
Required
S11-390,
S11-540
USED OIL REFINER
666
1
A
Used Oil Re-refiner
SI-10-C-2
Required
S11-400,
S11-540
USED OIL BURNER
667
1
A
Off-Specification Used Oil Burner
SI-10-C-3
Required
S11-410,
S11-540
USED OIL MARKET BURNER
668
1
A
Marketer Who Directs Shipment of Off-
Specification Used Oil to Off-
Specification Used Oil Burner
SI-10-C-4
Required
S11-420,
S11-540
USED OIL SPEC MARKETER
669
1
A
Marketer Who First Claims the Used
Oil Meets the Specifications
SI-10-C-4
Required
S11-430,
S11-540
SUBPART K COLLEGE
670
1
A
Opting into or Currently Operating
under 40 CFR Part 262 Subpart K as a
College or University
SI-10-D
Required
S11-440,
S11-475,
S11-476,
S11-540,
SUBPART K HOSPITAL
671
1
A
Opting into or Currently Operating
under 40 CFR Part 262 Subpart K as a
Teaching Hospital
SI-10-D
Required
S11-450,
S11-475,
S11-476,
S11-540
SUBPART K NONPROFIT
672
1
A
Opting into or Currently Operating
under 40 CFR Part 262 Subpart K as a
Non-profit Research Institute
SI-10-D
Required
S11-460,
S11-475,
S11-476,
S11-540
SUBPART K WITHDRAWAL
673
1
A
Withdrawing from 40 CFR Part 262
Subpart K
SI-10-D
Required
S11-470,
S11-475,
S11-476,
S11-540
INCLUDE IN NATIONAL REPORT
674
1
A
Include this Information in the National
Hazardous Waste Report
Required
S11-480
NOTES
675
1000
A
Comments / Notes
SI-13
S11-277
Total Record Length:
1674
June 2009
A-5
File Specification Guide
-------
SMFIat File Edit Specifications
Edit Number
Edit Description
Select Logic
SI1-010
The first two characters of the EPA ID must match the state code
for which data is being submitted.
SUBSTR(HANDLER ID,1,2) = state postal code of submission
S11 -015
Handler ID must be at least four characters and no more than
twelve characters.
LENGTH(HANDLER ID) >= 4 and LENGTH(HANDLER ID <= 12
S11 -016
Receive Date must be greater than January 1, 2009 and no later
than today.
RECEIVE DATE >= '20090101' and RECEIVE DATE <= today
S11-020
Handler Name must be provided.
HANDLER NAME <> ''
S11 -030
Location Streetl must be provided.
LOCATION STREET1 <> ''
S11-040
Location City must be provided.
LOCATION CITY <> ' '
If Location Country equals 'US' or blank and Handler ID does not
begin with 'NN' then Location State must equal the first two
characters of the Handler ID.
If LOCATION COUNTRY ='US'or" and SUBSTR(HANDLER ID,1,2)<>
'NN' Then LOCATION_STATE = SUBSTR(HANDLER_ID,1,2)
S11 -050
If Location Country equals 'US' or blank and Handler ID begins with
'NN' then Location State must equal a state postal code in
LU STATE.
If LOCATION COUNTRY ='US'or" and SUBSTR(HANDLER ID, 1,2) =
'NN' Then LOCATION_STATE = state postal code in LU_STATE
S11-060
If Location Country does not equal 'US' or blank, then Location
State must equal a foreign state in LU FOREIGN STATE or blank.
If LOCATION COUNTRY <>'US'or "Then LOCATION STATE = foreign
state in LU FOREIGN STATE or''
S11 -070
Location Zip must be provided.
LOCATION ZIP <> ' '
S11 -080
If Location Country equals 'US' or blank, then Location County must
equal a county code in LU COUNTY.
If LOCATION COUNTRY = 'US' or' ' Then LOCATION COUNTY = county
code in LU COUNTY
S11 -085
If Location Country does not equal 'US' or blank, then Location
County must be blank.
If LOCATION COUNTRY <> 'US' or' ' Then LOCATION COUNTY = ' '
S11 -090
Location Country must equal a country code in LU_COUNTRY or
blank. If Location Country is blank, a value of 'US' will be assumed.
LOCATION COUNTRY = country code in LU COUNTRY or''
S11 -095
State District must equal an implementer-defined value in
LU STATE DISTRICT or blank.
STATE DISTRICT = implementer-defined value in LU STATE DISTRICT
or STATE DISTRICT = ' '.
SI1-100
Mail Streetl must be provided.
MAIL STREET1 <> ''
SI1-110
Mail City must be provided.
MAIL CITY <> ' '
S11 -120
If Mail Country equals 'US' or blank, then Mail State must equal a
state postal code in LU STATE.
If MAIL COUNTRY = 'US' or'' Then MAIL STATE = state postal code in
LU STATE
S11 -130
If Mail Country does not equal 'US' or blank, then Mail State must
equal a foreign state in LU FOREIGN STATE or blank.
If MAIL COUNTRY <> 'US' or'' Then MAIL COUNTRY = foreign state in
LU FOREIGN STATE or' '
S11 -140
Mail Zip must be provided.
MAIL ZIP <> ' '
June 2009
A-6
File Specification Guide
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SMFIat File Edit Specifications
Edit Number
Edit Description
Select Logic
S11 -150
Mail Country must equal a country code in LU_COUNTRY or blank.
If Mail Country is blank, a value of 'US' will be assumed.
MAIL COUNTRY = country code in LU COUNTRY or"
S11 -160
Land Type must equal 'P', 'C', 'D', 'F', 1', 'M', 'S', or 'O'.
LAND TYPE = 'P' or 'C' or 'D' or 'F' or T or 'M' or'S' or 'O'
S11 -170
Contact First Name must be provided.
CONTACT FIRST NAME <> ' '
S11 -180
Contact Last Name must be provided.
CONTACT LAST NAME<> "
S11 -190
If Contact Country equals 'US' or blank, then Contact State must
equal a state post code in LU STATE or blank.
If CONTACT_COUNTRY = 'US' or'' Then CONTACT_STATE = state
postal code in LU STATE or''
S11-200
If Contact Country does not equal 'US' or blank, then Contact State
must equal a foreign state in LU FOREIGN STATE or blank.
If CONTACT COUNTRY <> 'US' or'' Then CONTACT STATE = foreign
state in LU FOREIGN STATE or''
S11-210
Contact Country must equal a country code in LU_COUNTRY or
blank. If Contact Country is blank, a value of 'US' will be assumed.
CONTACT COUNTRY = country code in LU COUNTRY or''
S11-220
Contact Phone must be provided.
CONTACT PHONE <> ' '
S11-240
Federal Waste Generator Status must equal a headquarter-defined
generator status in LU GENERATOR STATUS.
FED WASTE GENERATOR = headquarter-defined generator status in
LU GENERATOR STATUS
S11-260
State Waste Generator Status must equal a implementer-defined
generator status in LU GENERATOR STATUS.
STATE WASTE GENERATOR = implementer-defined generator status in
LU GENERATOR STATUS
S11-270
Short Term Generator must equal 'Y', 'N', or 'U'.
SHORT TERM GENERATOR = 'Y' or 'N' or 'U'
S11-275
If Short Term Generator equals 'Y', then Federal Waste Generator
Status cannot equal 'N'.
If SHORT TERM GENERATOR = 'Y' Then FED WASTE GENERATOR
<> 'N'
S11-277
If Short Term Generator equals 'Y', then Notes must be provided.
If SHORT TERM GENERATOR = 'Y' Then NOTES <> ' '
S11-280
Importer Activity must equal'Y' or 'N'.
IMPORTER ACTIVITY = 'Y' or'N'
S11-290
Mixed Waste Generator must equal 'Y' or 'N'
MIXED WASTE GENERATOR = 'Y' or 'N'
S11-295
If Mixed Waste Generator equal'Y' Then Federal Waste Generator
Status cannot equal 'N'.
If MIXED WASTE GENERATOR = 'Y' Then FED WASTE GENERATOR
<> 'N'
S11 -300
Transporter Activity must equal 'Y' or 'N'
TRANSPORTER ACTIVITY ='Y' or'N'
S11 -310
Transfer Facility must equal'Y', 'N' or 'U'
TRANSFER FACILITY ='Y'or'N'or'U'
S11-320
TSD Activity must equal 'Y' or 'N'
TSD ACTIVITY = 'Y' or'N'
S11 -330
Recycler Activity must equal'Y' or 'N'
RECYCLER ACTIVITY ='Y' or'N'
S11-340
Small Quantity On-Site Burner Exemption must equal 'Y' or 'N'
ONSITE BURNER EXEMPTION ='Y'or'N'
S11 -350
Smelting, Melting, and Refining Furnace Exemption must equal'Y'
or'N'
FURNACE EXEMPTION ='Y'or'N'
S11-360
Underground Injection Control must equal 'Y' or 'N'
UNDERGROUND INJECTION ACTIVITY ='Y'or'N'
S11-362
Received Hazardous Waste from Off-site must equal 'Y' or 'N'
OFF SITE RECEIPT ='Y'or'N'
S11-365
Destination Facility for Universal Waste must equal 'Y' or 'N'
UNIVERSAL WASTE DEST FACILITY ='Y'or'N'
June 2009
A-7
File Specification Guide
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SMFIat File Edit Specifications
Edit Number
Edit Description
Select Logic
S11 -370
Used Oil Transporter must equal'Y' or 'N'
USED OIL TRANSPORTER ='Y'or'N'
S11 -380
Used Oil Transfer Facility must equal 'Y' or 'N'
USED OIL TRANSFER FACILITY ='Y'or'N'
S11 -390
Used Oil Processor must equal 'Y' or 'N'
USED OIL PROCESSOR ='Y'or'N'
S11-400
Used Oil Re-refiner must equal 'Y' or 'N'
USED OIL REFINER ='Y'or'N'
S11-410
Off-Specification Used Oil Burner must equal 'Y' or 'N'
USED OIL BURNER ='Y'or'N'
S11-420
Marketer Who Directs Shipment of Off-Specification Used Oil to Off-
Specification Used Oil Burner must equal'Y' or 'N'
USED OIL MARKET BURNER ='Y'or'N'
S11-430
Marketer Who First Claims the Used Oil Meets the Specifications
must equal'Y' or 'N'
USED OIL SPEC MARKETER ='Y'or'N'
S11-440
Opting into or currently operating under 40 CFR Part 262 Subpart K
as a College or University must equal'Y' or 'N'
SUBPART K COLLEGE = 'Y' or 'N'
S11-450
Opting into or currently operating under 40 CFR Part 262 Subpart K
as a Teaching Hospital must equal 'Y' or 'N'
SUBPART K HOSPITAL = 'Y' or 'N'
S11-460
Opting into or currently operating under 40 CFR Part 262 Subpart K
as a Non-profit Research Institute must equal 'Y' or 'N'
SUBPART K NONPROFIT ='Y'or'N'
S11-470
Withdrawinq from 40 CFR Part 262 Subpart K must equal'Y' or 'N'
SUBPART K WITHDRAWAL = 'Y' or 'N'
S11-475
If Withdrawing from 40 CFR Part 262 Subpart K equals 'Y' then
Opting into or currently operating under 40 CFR Part 262 Subpart K
as a College or University must equal 'N' and Opting into or
currently operating under 40 CFR Part 262 Subpart K as a
Teaching Hospital must equal 'N' and Opting into or currently
operating under 40 CFR Part 262 Subpart K as a Non-profit
Research Institute must equal 'N'
If SUBPART K WITHDRAWAL = 'Y' Then
SUBPART K COLLEGE = 'N' and
SUBPART K HOSPITAL = 'N' and
SUBPART K NONPROFIT ='N'
S11-480
Include this Information in the National Hazardous Waste Report
must equal 'Y' or 'N'
INCLUDE IN NATIONAL REPORT ='Y'or'N'
S11-490
For each handler in S11, one NAICS record must exist in SI3 where
the NAICS Sequence equals 1.
For each HANDLER ID in SI1 there must be a record in SI3 where
NAICS SEQ = 1.
S11 -500
For each handler in S11, one certification record must exist in SI7
where the Certification Sequence equals 1.
For each HANDLER ID in SI1 there must be a record in SI7 where
CERT SEQ = 1.
S11 -510
For each handler in S11, at least one owner record must exist in SI2
where the Owner / Operator Indicator equals 'CO' and at least one
operator record must exist in SI2 where the Owner / Operator
Indicator equals 'CP'.
For each HANDLER ID in SI1 there must be a record in SI2 where
OWNER OPERATOR INDICATOR = 'CO' and a record in SI2 where
OWNER OPERATOR INDICATOR ='CP'
June 2009
A-8
File Specification Guide
-------
SMFIat File Edit Specifications
Edit Number
Edit Description
Select Logic
S11-520
If Federal Generator Status equals '1', '2', or '3', or TSD Activity
equals 'Y' or Recycler Activity equals 'Y' or Small Quantity On-Site
Burner Exemption equals 'Y' or Smelting, Melting, and Refining
Furnace Exemption equals 'Y', then one waste code record must
exist in SI4 or SI5.
If FED WASTE GENERATOR ='1'or'2'or'3'
or TSD ACTIVITY = 'Y'
or RECYCLER ACTIVITY = 'Y'
or ONSITE BURNER EXEMPTION ='Y'
or FURNACE EXEMPTION = 'Y' Then there must be a record in SI4 or SI5
where HANDLER ID in SI4 or SI5 = HANDLER IDinSIl
S11 -530
If Location Country does not equal 'US' or blank Then HSM data
cannot be provided.
If LOCATION COUNTRY <> 'US' or'' Then there cannot be a record in
SI9 where HANDLER ID in SI1 = HANDLER ID in SI9.
S11-540
If Location Country does not equal 'US' or blank Then the following
activities must equal 'N': Federal Generator Status, Importer
Activity, Short-Term Generator, Mixed Waste Generator, Transfer
Facility, TSD Activity, Recycler Activity, On-site Burner Exemption,
Furnace Exemption, Underground Injection Activity, Universal
Waste Destination Facility, Used Oil Burner, Used Oil Transfer
Facility, Used Oil Processor, Used Oil Refiner, Used Oil
Specification Marketer, Used Oil Fuel Marketer, Subpart K-College,
Subpart K-Hospital, Subpart K-Non-profit, and Subpart K-
Withdrawal.
If LOCATION COUNTRY <>'US'or "Then FED WASTE GENERATOR
= 'N' AND IMPORTER ACTIVITY = 'N' AND
SHORT TERM GENERATOR ='N" AND MIXED WASTE GENERATOR
= 'N' AND TRANSFER FACILITY = 'N' AND TSD ACTIVITY = 'N' AND
RECYCLER ACTIVITY ='N'AND ONSITE BURNER EXEMPTION ='N'
AND FURNACE EXEMPTION = 'N' AND
UNDERGROUND INJECTION ACTIVITY ='N'AND
UNIVERSAL WASTE DEST FACILITY ='N'AND USED OIL BURNER
= 'N'AND USED OIL TRANSFER FACILITY ='N'AND
USED OIL PROCESSOR ='N'AND USED OIL REFINER ='N'AND
USED OIL SPEC MARKETER = 'N' AND SUBPART K COLLEGE = 'N'
AND SUBPART K HOSPITAL ='N'AND SUBPART K NONPROFIT =
'N' AND SUBPART K WITHDRAWAL = 'N'
June 2009
A-9
File Specification Guide
-------
FLAT FILE ID# - SI2
Source Form: Site ID
Description: Owner/Operator Name and Address
This file reports the owner and operator name and address for each site. 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 (HANDLERJD); Owner/Operator Sequence Number (OWNER_OPERATOR_SEQ). Each record in the SI2 file must
contain a unique combination of the Handler ID and Owner/Operator Sequence Number.
Note: The SI2 file is REQUIRED. At least two records must be provided for each handler - one record for the current owner and one record for
the current operator.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI2-010
OWNER OPERATOR SEQ
13
6
I
Owner/Operator Sequence Number
Required
SI2-020
OWNER OPERATOR INDICATOR
19
2
A
Owner/Operator Indicator
Required
SI2-030
OWNER OPERATOR NAME
21
40
A
Owner/Operator Name
SI-9
Required
SI2-040
DATE BECAME CURRENT
61
8
Date
Date the Owner/Operator Became
Current
SI-9
Required
SI2-050
OWNER OPERATOR TYPE
69
1
A
Owner/Operator Type
SI-9
Required
SI2-060
STREET NO
70
12
A
Owner/Operator Street Number
SI-9
STREET1
82
30
A
Owner/Operator Street 1
SI-9
STREET2
112
30
A
Owner/Operator Street 2
SI-9
CITY
142
25
A
Owner/Operator City
SI-9
STATE
167
2
A
Owner/Operator State
SI-9
SI2-070,
SI2-080
ZIP
169
14
A
Owner/Operator Zip
SI-9
COUNTRY
183
2
A
Owner/Operator Country
SI-9
SI2-070,
SI2-080,
SI2-090
PHONE
185
15
A
Owner/Operator Phone Number
SI-9
NOTES
200
240
A
Comments / Notes
Total Record Length:
439
June 2009
A-10
File Specification Guide
-------
SI2 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI2-010
Handler ID must exist in SI1
HANDLER ID must exist in SI1
SI2-020
Owner / Operator Sequence must be greater than zero.
OWNER OPERATOR SEQ > 0
SI2-030
Owner / Operator Indicator must equal 'CO' or 'CP'.
OWNER OPERATOR INDICATOR = 'CO' or 'CP'
SI2-040
Owner / Operator Name must be provided.
OWNER OPERATOR NAME <> ' '
SI2-050
Date the Owner/Operator Became Current must be a valid date
qreaterthan or equal to January 1, 1600.
DATE BECAME CURRENT >='16000101'
SI2-060
Owner / Operator Type must equal 'P', 'C', 'D', 'F', T, 'M', 'S', or 'O'.
OWNER OPERATOR TYPE = 'P' or 'C' or 'D' or 'F' or T or 'M' or'S' or 'O'
SI2-070
If Owner / Operator Country equals 'US' or blank, then Owner /
Operator State must equal a state postal code in LU_STATE or
blank.
If COUNTRY = 'US' or'' Then STATE = state postal code in LU_STATE or
SI2-080
If Owner / Operator Country does not equal 'US' or blank, then
Owner / Operator State must equal a foreign state in
LU FOREIGN STATE or blank.
If COUNTRY <> 'US' or'' Then STATE = foreign state in
LU FOREIGN STATE or' '
SI2-090
Owner / Operator Country must equal a country code in
LU_COUNTRY or blank. If Owner / Operator Country is blank, a
value of'US' will be assumed.
COUNTRY = country code in LU COUNTRY or''
June 2009
A-11
File Specification Guide
-------
FLAT FILE ID# - SI3
Source Form: Site ID Description: North American Industry Classification System Codes for the Site
This file captures the information contained in Item 6 of the Site ID form. The relationship of these data records to the reported site is n:1, that is,
there can be multiple NAICS for each site.
Key Fields: Handler ID (HANDLERJD); NAICS Sequence Number (NAICS_SEQ). Each record in the SI3 file must contain a unique combination
of the Handler ID and NAICS Sequence Number.
Note: The SI3 file is REQUIRED. At least one record with a sequence number of 1 (indicating the primary NAICS) must be provided for each
handler.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI3-010
NAICS SEQ
13
4
I
NAICS Sequence Number
Required
SI3-020
NAICS CODE
17
6
A
NAICS Code
SI-6
Required
SI3-030
Total Record Length:
22
June 2009
A-12
File Specification Guide
-------
SI3 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI3-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
SI3-020
NAICS Sequence must be greater than zero.
NAICS SEQ > 0
SI3-030
NAICS Code must equal a headquarters-defined NAICS code in
LU NAICS.
NAICS CODE = headquarters-defined NAICS code in LU NAICS.
June 2009
A-13
File Specification Guide
-------
FLAT FILE ID# - SI4
Source Form: Site ID Description: EPA Hazardous Waste Codes
This file captures the information contained in Item 11-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 waste codes for each site.
Key Fields: Handler ID (HANDLERJD); EPA Waste Code (EPA_WASTE_CODE). Each record in the SI4 file must contain a unique combination
of the Handler ID and EPA Waste Code.
Note: The SI4 file is REQUIRED for handlers that have generation (LQG, SQG, or CESQG), TSD, Recycler, or Exempt Boiler and/or Industrial
Furnace activities.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI4-010
EPA WASTE CODE
13
4
A
Waste Code for Federally-Regulated
Hazardous Wastes
SI-11-A
Required
SI4-020
Total Record Length:
16
June 2009
A-14
File Specification Guide
-------
SI4 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI4-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
SI4-020
EPA Waste Code must equal a headquarters-defined waste code in
LU WASTE CODE.
EPA WASTE CODE = headquarters-defined waste code in
LU WASTE CODE.
June 2009
A-15
File Specification Guide
-------
FLAT FILE ID# - SI5
Source Form: Site ID Description: State Hazardous Waste Codes
This file captures the information contained in Item 11-B of the Site ID form. The relationship of these data records to the reported site is n:1, that
is, there can be multiple waste codes for each site.
Key Fields: Handler ID (HANDLERJD); State Waste Code (STATE_WASTE_CODE). Each record in the SI5 file must contain a unique
combination of the Handler ID and State Waste Code.
Note: The SI5 file is NOT REQUIRED. The edits for this file apply only if you provide data for this file.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI5-010
STATE WASTE CODE
13
6
A
Waste Code for State-Regulated
Hazardous Waste
SI-11-B
Required
SI 5-020
Total Record Length:
18
June 2009
A-16
File Specification Guide
-------
SI5 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI5-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
SI5-020
State Waste Code must equal an implementer-defined waste code
in LU WASTE CODE.
STATE WASTE CODE = implementer-defined waste code in
LU WASTE CODE.
June 2009
A-17
File Specification Guide
-------
FLAT FILE ID# - SI6
Source Form: Site ID
Description: Universal Waste Activities
This file captures the information contained in Item 10-B-1 of the Site ID form. The relationship of these data records to the reported site is n:1,
that is, there can be multiple universal wastes for each site.
Key Fields: Handler ID (HANDLERJD); Universal Waste Owner (UNIVERSAL_WASTE_OWNER); Universal Waste (UNIVERSAL_WASTE).
Each record in the SI6 file must contain a unique combination of the Handler ID, Universal Waste Owner, and Universal Waste.
If the Universal Waste is a headquarters-defined universal waste (i.e., lamps, batteries, pesticides, or mercury containing equipment), the
Universal Waste Owner will be equal to 'HQ'.
If the Universal Waste is an implementer-defined universal waste, the Universal Waste Owner will be equal to the State of submission.
Note: The SI6 file is REQUIRED for handlers that accumulated / managed lamps, batteries, pesticides, or mercury containing equipment.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI6-010
UNIVERSAL WASTE OWNER
13
2
A
Universal Waste Owner
Required
SI6-020,
SI6-040,
SI6-050,
SI6-060,
SI6-070
UNIVERSAL WASTE
15
1
A
Universal Waste
SI-10-B-1
Required
SI6-030
GENERATED
16
1
A
Generated
SI6-060
ACCUMULATED
17
1
A
Accumulated / Managed
SI-10-B-1
Required
SI6-040,
SI6-050,
SI6-070
Total Record Length:
17
June 2009
A-18
File Specification Guide
-------
SI6 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI6-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
SI6-020
Universal Waste Owner must equal 'HQ' or the State of submission.
UNIVERSAL WASTE OWNER ='HQ'or State of submission
SI6-030
Universal Waste Type must equal a headquarters or implementer-
defined universal waste type in LU UNIVERSAL WASTE.
UNIVERSAL WASTE TYPE = headquarter or implementer-defined
universal waste type in LU UNIVERSAL WASTE
SI6-040
If Universal Waste Owner equals 'HQ' then Accumulated / Managed
must equal'Y'
If UNIVERSAL WASTE OWNER ='HQ'Then ACCUMULATED ='Y'
SI6-050
If Universal Waste Owner equals State of submission then
Accumulated / Managed must equal 'Y' or 'N'
If UNIVERSAL WASTE OWNER = State of submission Then
ACCUMULATED = 'Y' or'N'
SI6-060
If Universal Waste Owner equals state of submission then
Generated must equal 'Y' or 'N'
If UNIVERSAL WASTE OWNER = State of submission Then
GENERATED = 'Y' or'N'
SI6-070
If Universal Waste Owner equals State of submission then
Accumulated / Managed must equal 'Y' or Generated must equal'Y'
If UNIVERSAL WASTE OWNER = state of submission Then
ACCUMULATED = 'Y' or GENERATED = 'Y'
Note: If the Universal Waste Type is headquarters-defined, then the Generated field will be set to null, regardless of the value provided by the
submitter.
June 2009
A-19
File Specification Guide
-------
FLAT FILE ID# - SI7
Source Form: Site ID
Description: Site Identification Form Certification
This file captures the information contained in Item14 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 (HANDLERJD); Certification Sequence Number (CERT_SEQ). Each record in the SI7 file must contain a unique
combination of the Handler ID and Certification Sequence Number.
Note: The SI7 file is REQUIRED. At least one record must be provided for each handler.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI7-010
CERT SEQ
13
6
I
Certification Sequence Number
Required
SI 7-020
CERT FIRST NAME
19
15
A
Certification First Name
SI-14
Required
SI 7-030
CERT MIDDLE INITIAL
34
1
A
Certification Middle Initial
SI-14
CERT LAST NAME
35
15
A
Certification Last Name
SI-14
Required
SI7-040
CERT TITLE
50
45
A
Certification Title
SI-14
Required
SI 7-050
CERT SIGNED DATE
95
8
Date
Date Certification was Signed
SI-14
Required
SI 7-060
Total Record Length:
102
June 2009
A-20
File Specification Guide
-------
SI7 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI7-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
SI7-020
Certification Sequence must be greater than zero.
CERT SEQ > 0
SI7-030
Certification First Name must be provided.
CERT FIRST NAME <> "
SI7-040
Certification Last Name must be provided.
CERT LAST NAME <> ' '
SI7-050
Certification Title must be provided.
CERT TITLE <> ' '
SI7-060
Date Certification was Signed must be a valid date greater than or
equal to January 1, 2009 and less than today.
CERT_SIGNED_DATE >= '20090101' and CERT_SIGNED_DATE <=
Today
June 2009
A-21
File Specification Guide
-------
FLAT FILE ID# - SI8
Source Form: Site ID Description: State-Specific Activities
This file reports the state-specific activities for each site. Although not on the EPA Form 8700-13A/B, this file 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 state activities for each site.
Key Fields: Handler ID (HANDLERJD); State Activity (STATE_ACTIVITY). Each record in the SI8 file must contain a unique combination of the
Handler ID and State Activity.
Note: The SI8 file is NOT REQUIRED. The edits for this file apply only if you provide data for this file.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI8-010
STATE ACTIVITY
13
5
A
State Activity
Required
SI8-020
Total Record Length:
17
June 2009
A-22
File Specification Guide
-------
SI8 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI8-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
SI8-020
State Activity must equal an implementer-defined state activity in
LU STATE ACTIVITY.
STATE ACTIVITY = implementer-defined state activity in
LU STATE ACTIVITY.
June 2009
A-23
File Specification Guide
-------
FLAT FILE ID# - SI9
Source Form: Site ID
Description: Hazardous Secondary Material Basic Information
This file captures the information contained in Items 1 and 3 of the Addendum to the Site ID form. The relationship of these data records to the
reported site is 1:1, that is, there can only be one record for each site.
Key Fields: Handler ID (HANDLERJD.
Each record in the SI9 file must contain a unique Handler ID.
Note: The SI9 file is REQUIRED for handlers that will manage, are managing, or have stopped managing hazardous secondary material under 40
CFR 261.2(a)(2)(H), 261.4(a)(23), (24), or (25).
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SI9-010,
SI 9-050
REASON FOR NOTIFICATION
13
1
A
Reason for Notification
ADD-1
Required
SI9-020,
SI 9-030
HSM EFFECTIVE DATE
14
8
Date
Hazardous Secondary Material
Effective Date
ADD-1
Cond.
Required
SI 9-030
HSM FA
22
1
A
Hazardous Secondary Material
Financial Assurance
ADD-3
Required
SI 9-040
Total Record Length:
22
June 2009
A-24
File Specification Guide
-------
SI9 Flat File Edits
pecifications
Edit Number
Edit Description
Select Logic
SI9-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
SI9-020
Reason for Notification must equal 1', 'R', or'S'
REASON FOR NOTIFICATION = T or'R'or'S'
If Reason for Notification equals 1' or'S' then Hazardous Secondary
Material Effective Date must be greater than December 29, 2008
If REASON FOR NOTIFICATION = T or'S' Then
HSM_EFFECTIVE_DATE >= '20081229'
SI9-030
If Reason for Notification equals 'R' then Hazardous Secondary
Material Effective Date must be blank
If REASON FOR NOTIFICATION = 'R' Then
HSM EFFECTIVE DATE = blank
If Facility Code in SIA equals '07', '08', or '11' then Hazardous
Secondary Material Financial Assurance must equal 'Y' or 'N'
If FACILITY CODE in SIA = '07' or '08' or '11' Then
HSM_FA = 'Y' or'N'
SI9-040
If Facility Code in SIA does not equal '07', '08', or '11' then
Hazardous Secondary Material Financial Assurance must equal 'N'
If FACILITY CODE in SIA <> '07' or '08' or '11' Then
HSM FA = 'N'
SI9-050
For each handler in SI9, one HSM activity record must exist in SIA.
For each HANDLER ID in SI9 there must be a record in SIA.
June 2009
A-25
File Specification Guide
-------
FLAT FILE ID# - SIA
Source Form: Site ID
Description: Hazardous Secondary Material Activity
This file captures the information contained in Item 2 of the Addendum to the Site ID form. The relationship of these data records to the reported
site is n\ 1, that is, there can be multiple HSM activities for each site.
Key Fields: Handler ID (HANDLERJD); HSM Sequence Number (HSM_SEQ_NUMBER). Each record in the SIA file must contain a unique
combination of the Handler ID and HSM Sequence Number.
Note: The SIA file is REQUIRED for handlers that will manage, are managing, or have stopped managing hazardous secondary material under 40
CFR 261.2(a)(2)(H), 261.4(a)(23), (24), or (25).
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SIA-010,
SIA-100
HSM SEQ NUMBER
13
2
I
Hazardous Secondary Material
Sequence Number
Required
SIA-020,
SIA-100
FACILITY CODE
15
2
A
Facility Code
ADD-2-A
Required
SIA-030
ESTIMATE SHORT TONS
17
10
I
Estimated Tons of HSM Managed
Annually
ADD-2-C
Required
SIA-040,
SIA-050
ACTUAL SHORT TONS
27
10
I
Actual Tons of HSM Managed
Annually
ADD-2-D
Required
SIA-060,
SIA-070,
SIA-080
LAND BASED UNIT
37
2
A
Land-based Unit Code
ADD-2-E
Required
SIA-090
Total Record Length:
38
June 2009
A-26
File Specification Guide
-------
SIA Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
SIA-010
Handler ID must exist in SI9.
HANDLER ID must exist in SI9
SIA-020
HSM Sequence Number must be greater than zero.
HSM SEQUENCE NUMBER>0
SIA-030
Facility Code must equal a headquarters-defined facility code in
LU HSM FACILITY CODE.
FACILITY CODE = headquarters-defined facility code in
LU HSM FACILITY CODE.
SIA-040
If Reason For Notification equals T or 'R' then Estimated Tons of
HSM Managed Annually must be greater than zero.
If REASON FOR NOTIFICATION ='N'or'R'Then
ESTIMATE SHORT TONS > 0
SIA-050
If Reason for Notification equals 'S' then Estimated Tons of HSM
Managed Annually must equal zero.
If REASON FOR NOTIFICATION ='S'Then ESTIMATE SHORT TONS
= 0
SIA-060
If Reason for Notification equals 'R' then Actual Tons of HSM
Managed Annually must be greater than or equal to zero.
If REASON FOR NOTIFICATION ='R'Then ACTUAL SHORT TONS >=
0
SIA-070
If Reason for Notification equals T then Actual Tons of HSM
Managed Annually must equal zero.
If REASON FOR NOTIFICATION = T Then ACTUAL SHORT TONS = 0
SIA-080
If Reason for Notification equals 'S' then Actual Tons of HSM
Managed Annually must be greater than or equal to zero.
If REASON FOR NOTIFICATION = 'S' Then ACTUAL SHORT TONS >=
0
SIA-090
Land-based Unit Code must equal 'NA', 'SI', 'PL', or 'OT'
LAND BASED UNIT ='NA'or'SI'or'PL'or'OT'
SI A-100
For each handler/HSM sequence number in SIA, one HSM waste
code record must exist in SIB.
For each HANDLERJD and HSM_SEQ_NUMBER in SIA there must be a
record in SIB.
June 2009
A-27
File Specification Guide
-------
FLAT FILE ID# - SIB
Source Form: Site ID Description: Hazardous Secondary Material Waste Codes
This file captures the information contained in Item 2.C of the Addendum to the Site ID form. The relationship of these data records to the
reported site is n:1, that is, there can be multiple waste codes for each site / HSM sequence number.
Key Fields: Handler ID (HANDLERJD); HSM Sequence Number (HSM_SEQUENCE_NUMBER), Waste Code (WASTE_CODE). Each record in
the SIB file must contain a unique combination of the Handler ID, HSM Sequence Number, and Waste Code.
Note: The SIB file is REQUIRED for handlers that will manage, are managing, or have stopped managing hazardous secondary material under 40
CFR 261.2(a)(2)(H), 261.4(a)(23), (24), or (25).
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
SI-2
Required
SIB-010
HSM SEQ NUMBER
13
2
I
Hazardous Secondary Material
Sequence Number
Required
SIB-010
WASTE CODE
15
4
A
EPA Hazardous Waste Code
ADD-2-C
Required
SIB-020
Total Record Length:
18
June 2009
A-28
File Specification Guide
-------
SIB Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
SIB-010
Handler ID and HSM Sequence Number must exist in SIA.
HANDLER ID and HSM SEQ NUMBER must exist in SIA
SIB-020
Waste Code must equal a headquarters-defined waste code in
LU WASTE CODE.
WASTE CODE = headquarters-defined waste code in
LU WASTE CODE.
June 2009
A-29
File Specification Guide
-------
FLAT FILE ID# - GM1
Source Form: GM Description: Waste Generation and Management Information
This file captures data elements that have 1:1 relationship to the reported waste. These data elements are as follows:
through 1 .G.
GM Items 1 .A, and 1 .D
Key Fields: Handler ID (HANDLERJD); Page Number (HZ_PG). Each record in the GM1 file must contain a unique combination of the Handler
ID and Page Number.
Note: The GM1 file is REQUIRED for handlers that generated RCRA hazardous waste that, in 2009, was accumulated on-site; managed on-site
in a treatment, storage, or disposal unit; and/or shipped off-site for management..
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Reguired
GM1-010,
GM1-190
HZ PG
13
5
I
Page Number
Reguired
GM1-020,
GM1-190
FORM CODE
18
4
A
Waste Form Code
GM-1-E
Reguired
GM 1-060
UNIT OF MEASURE
22
1
A
Unit of Measure
GM-1-F
Reguired
GM1-080,
GM1-090,
GM1-100
WST DENSITY
23
6
D3.2
Density
GM-1-F
Cond.
Reguired
GM 1-090
DENSITY UNIT OF MEASURE
29
1
A
Density Unit of Measure
GM-1-F
Cond.
Reguired
GM1-100
MANAGEMENT METHOD
30
4
A
Management Method (for source code
'G25" only)
GM-1-D
Cond.
Reguired
GM 1-050
WASTE MIN CODE
34
1
A
Waste Minimization Indicator
GM-1-G
Reguired
GM1-110
SOURCE CODE
35
3
A
Source Code
GM-1-D
Reguired
GM1-040,
GM1-050,
GM1-055,
GM 1-056
GEN QTY
38
18
D11.6
Quantity Generated in Reporting Year
GM-1-F
Reguired
GM1-055,
GM 1-070
INCLUDE IN NATIONAL REPORT
56
1
A
Include Information in the National
Hazardous Waste Report
Reguired
GM1-180
DESCRIPTION
57
240
A
Waste Stream Description
GM-1-A
Reguired
GM 1-030
June 2009
A-30
File Specification Guide
-------
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
NOTES
297
240
A
Comments/Notes
Bottom of
form
ON SITE MANAGEMENT
537
1
A
Was this Waste Stream Managed On-
Site
GM-2
Required
GM1-120,
GM1-130,
GM1-140
OFF SITE SHIPMENT
538
1
A
Was this Waste Stream Shipped Off-
Site
GM-3-A
Required
GM1-150,
GM1-160,
GM1-170
Total Record Length:
538
June 2009
A-31
File Specification Guide
-------
GM1 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
GM1-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
GM1-020
Page Number must be greater than zero.
HZ POO
GM1-030
Waste Stream Description must be provided.
DESCRIPTION <> ''
GM 1-040
Source Code must equal a headquarter-defined source code in
LU SOURCE CODE.
SOURCE CODE = headquarter-defined source code in
LU SOURCE CODE
GM 1-050
If Source Code equals 'G25' then Management Method must equal
a headquarter-defined management method in
LU_MANAGEMENT_METHOD else Management Method must
equal''
If SOURCE_CODE = 'G25' Then MANAGEMENT_METHOD =
headquarter-defined management method in
LU MANAGEMENT METHOD
Else MANAGEMENT METHOD = ' '
GM 1-055
If Source Code equals 'G17' then Quantity Generated must equal
zero.
If SOURCE CODE = 'G17' Then GEN QTY = 0.
GM 1-056
If Source Code equals 'G17' then handler must have opted into the
Subpart K rule.
If SOURCE CODE = 'G17' Then SUBPART K COLLEGE in SI1 = 'Y' or
SUBPART K HOSPITAL in SI1 = 'Y' or SUBPART K NONPROFIT in SI1
= 'Y' or SUBPART K WITHDRAWAL in SI1 = 'Y'.
GM 1-060
Form Code must equal a headquarter-defined form code in
LU FORM CODE.
FORM CODE = headquarter-defined form code in LU FORM CODE
GM 1-070
Quantity Generated must be greater than or equal to zero.
GEN QTY >= 0
GM 1-080
Unit of Measure must equal a headquarter-defined unit of measure
in LU BR UOM.
UNIT OF MEASURE = headquarter-defined unit of measure in
LU BR UOM
GM 1-090
If Unit of Measure equals '5', '6', or '7', then Density must be greater
than zero else Density must equal 0.
If UNIT OF MEASURE = '5' or '6' or T Then WST DENSITY > 0
Else WST DENSITY = 0
GM1-100
If Unit of Measure equals '5', '6', or '7', then Density Unit of Measure
must equal a headquarter-defined unit of measure in
LU_DENSITY_UOM else Density Unit of Measure must equal
blank.
If UNIT OF MEASURE = '5' or '6' or T Then
DENSITY UNIT OF MEASURE = headquarter-defined density unit of
measure in LU DENSITY UOM
Else DENSITY UNIT OF MEASURE = "
GM1-110
Waste Minimization must equal a headquarter-defined waste
minimization code in LU WASTE MINIMIZATION.
WASTE MIN CODE = headquarter-defined waste minimization code in
LU WASTE MINIMIZATION
GM1-120
On-Site Management Indicator must equal'Y' or 'N'
ON SITE MANAGEMENT = 'Y' or 'N'
GM1-130
If On-Site Management Indicator equals 'Y' then at least one
corresponding record must exist in GM5.
If ON_SITE_MANAGEMENT = 'Y' Then HANDLERJD and HZ_PG in GM1
must exist in GM5
GM1-140
If On-Site Management Indicator equals 'N' then no corresponding
record may exist in GM5.
If ON_SITE_MANAGEMENT = 'N' Then HANDLERJD and HZPG in GM1
cannot exist in GM5
GM1-150
Off-Site Management Indicator must equal'Y' or 'N'
OFF SITE MANAGEMENT = 'Y'or'N'
GM1-160
If Off-Site Management Indicator equals 'Y' then at least one
corresponding record must exist in GM4.
If OFF_SITE_MANAGEMENT = 'Y' Then HANDLERJD and HZ_PG in
GM1 must exist in GM4
GM1-170
If Off-Site Management Indicator equals 'N' then no corresponding
record may exist in GM4.
If OFF_SITE_MANAGEMENT = 'N' Then HANDLERJD and HZ_PG in
GM1 must exist in GM4
June 2009
A-32
File Specification Guide
-------
GM1 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
GM1-180
If Include in National Report in the SI1 file equals 'N' then Include in
National Report must equal 'N' else Include in National Report must
equal 'N' or 'Y'.
If INCLUDE IN NATIONAL REPORT in SI1='N'Then
INCLUDE IN NATIONAL REPORT = 'N'
Else INCLUDE IN NATIONAL REPORT = 'N' or 'Y'
GM1-190
For each handler and page number in GM1, one record must exist
in GM2 or GM3
For each HANDLER ID and HZ PG in GM1 there must be a record in
GM2 or GM3.
GM1-200
If Waste Minimization equals 'Y' or 'N' then Notes must be provided.
If WASTE MIN CODE equals 'Y' or 'N' then NOTES <> ' '
June 2009
A-33
File Specification Guide
-------
FLAT FILE ID# - GM2
Source Form: GM Description: EPA Hazardous Waste Codes
This file captures the information contained in Item 1 .B of the GM form. The relationship of these data records to the reported waste is n:1, that is,
there can be multiple waste codes for each reported waste.
Key Fields: Handler ID (HANDLERJD); Page Number (HZ_PG); EPA Waste Code (EPA_WASTE_CODE). Each record in the GM2 file must
contain a unique combination of the Handler ID, Page Number, and EPA 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 Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Required
GM2-010
HZ PG
13
5
I
Paqe Number
Required
GM2-010
EPA WASTE CODE
18
4
A
EPA Hazardous Waste Code
GM-1-B
Required
GM2-020
Total Record Length:
21
June 2009
A-34
File Specification Guide
-------
GM2 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
GM2-010
Handler ID and Page Number must exist in GM1.
HANDLER ID and HZ PG must exist in GM1
GM2-020
EPA Waste Code must equal a headquarters-defined waste code in
LU WASTE CODE.
EPA WASTE CODE = headquarters-defined waste code in
LU WASTE CODE.
June 2009
A-35
File Specification Guide
-------
FLAT FILE ID# - GM3
Source Form: GM Description: State Hazardous Waste Codes
This file captures the information contained in Item 1 .C of the GM form. The relationship of these data records to the reported waste is n:1, that is,
there can be multiple waste codes for each reported waste.
Key Fields: Handler ID (HANDLERJD); Page Number (HZ_PG); State Waste Code (STATE_WASTE_CODE). Each record in the GM3 file must
contain a unique combination of the Handler ID, Page Number, and State 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 Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Required
GM3-010
HZ PG
13
5
I
Paqe Number
Required
GM3-010
STATE WASTE CODE
18
6
A
State Hazardous Waste Code
GM-1-C
Required
GM3-020
Total Record Length:
23
June 2009
A-36
File Specification Guide
-------
GM3 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
GM3-010
Handler ID and Page Number must exist in GM1.
HANDLER ID and HZ PG must exist in GM1
GM3-020
State Waste Code must equal an implementer-defined waste code
in LU WASTE CODE.
STATE WASTE CODE = implementer-defined waste code in
LU WASTE CODE.
June 2009
A-37
File Specification Guide
-------
FLAT FILE ID# - GM4
Source Form: GM Description: Off-Site Management Information for the Reported Waste
This file captures off-site treatment information for the reported waste as represented in GM Items 3.B through 3.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 reported waste.
Key Fields: Handler ID (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, Page Number, and Off-Site Sequence Number.
Note: The GM4 file is REQUIRED for handlers that generated RCRA hazardous waste that, in 2009, was shipped off-site for management.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Required
GM4-010
HZ PG
13
5
I
Paqe Number
Required
GM4-010
IO PG NUM SEQ
18
5
I
Off-Site Sequence Number
Required
GM4-020
MANAGEMENT METHOD
23
4
A
Management Method
GM-3-C
Required
GM4-040
IO TDR ID
27
12
A
EPA ID Number of the Facility to which
Waste was Shipped
GM-3-B
Required
GM4-030
IO TDR QTY
39
18
D11.6
Total Quantity Shipped to EPA ID in
Current Reporting Year
GM-3-D
Required
GM4-050
Total Record Length:
56
June 2009
A-38
File Specification Guide
-------
GM4 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
GM4-010
Handler ID and Page Number must exist in GM1.
HANDLER ID and HZ PG must exist in GM1
GM4-020
Off-Site Sequence must be greater than zero.
IO PG NUM SEQ > 0
GM4-030
EPA ID Number of the Facility to which Waste was Shipped must
begin with a state postal code in LU STATE.
SUBSTR(IO TDR ID,1,2) = state postal code in LU STATE
GM4-040
Management Method must equal a headquarter-defined
management method in LU MANAGEMENT METHOD.
MANAGEMENT METHOD = headquarter-defined management method in
LU MANAGEMENT METHOD
GM4-050
Total Quantity Shipped to EPA ID in Current Reporting Year must
be greater than zero and less than 99,999,999,999.999999.
IO TDR QTY > 0 and <= 99999999999.999999
June 2009
A-39
File Specification Guide
-------
FLAT FILE ID# - GM5
Source Form: GM Description: On-Site Management Information for the Reported Waste
This file captures on-site treatment information for the reported waste as represented in GM Item 2. The relationship of these data records to the
reported waste is n: 1, that is, there can be multiple off-site information for each reported waste.
Key Fields: Handler ID (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, Page Number, and On-Site Sequence Number.
Note: The GM5 file is REQUIRED for handlers that generated RCRA hazardous waste that, in 2009, was accumulated on-site or managed on-site
in a treatment, storage, or disposal unit.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Required
GM5-010
HZ PG
13
5
I
Paqe Number
Required
GM5-010
SYS PG NUM SEQ
18
5
I
On-Site Sequence Number
Required
GM5-020
MANAGEMENT METHOD
23
4
A
Management Method
GM-2
Required
GM5-030
SYS TDR QTY
27
18
D11.6
Total Quantity Treated, Disposed, or
Recycled On-Site in Current Reporting
Year
GM-2
Required
GM5-040
Total Record Length:
44
June 2009
A-40
File Specification Guide
-------
GM5 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
GM5-010
Handler ID and Page Number must exist in GM1.
HANDLER ID and HZ PG must exist in GM1
GM5-020
On-Site Sequence must be greater than zero.
SYS PG NUM SEQ > 0
GM5-030
Management Method must equal a headquarter-defined
management method in LU MANAGEMENT METHOD.
MANAGEMENT METHOD = headquarter-defined management method in
LU MANAGEMENT METHOD
GM5-040
Total Quantity Treated, Disposed, or Recycled On-Site in Current
Reporting Year must be greater than zero and less than
99,999,999,999.999999.
SYS TDR QTY > 0 and <= 99999999999.999999
June 2009
A-41
File Specification Guide
-------
FLAT FILE ID#- WR1
Source Form: WR Description: Waste Received From Off-Site
This file captures the information contained in Item A and Items 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 (HANDLERJD); Page Number (HZ_PG); Waste Number (SUB_PG_NUM). Each record in the WR1 file must contain a
unique combination of the Handler ID, Page Number and Waste Number.
Note: The WR1 file is REQUIRED for handlers who, during 2009, received RCRA hazardous waste from off-site.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Required
WR1-010,
WR1-130
HZ PG
13
5
I
Page Number
Required
WR1-020,
WR1-130
SUB PG NUM
18
1
I
Waste Number
Required
WR1-030,
WR1-130
FORM CODE
19
4
A
Form Code
WR-G
Required
WR1-100
UNIT OF MEASURE
23
1
A
Unit of Measure
WR-F
Required
WR1-070,
WR1-080,
WR 1-090
WST DENSITY
24
6
D3.2
Density
WR-F
Cond.
Required
WR 1-080
DENSITY UN IT OF MEASURE
30
1
A
Density Unit of Measure
WR-F
Cond.
Required
WR1-090
INCLUDE IN NATIONAL REPORT
31
1
A
Include Information in the National
Hazardous Waste Report
Required
WR1-120
MANAGEMENT METHOD
32
4
A
Management Method
WR-H
Required
WR1-110
IO TDR ID
36
12
A
Off-Site Source EPA ID Number
WR-D
Required
WR1-050
IO TDR QTY
48
18
D11.6
Quantity Received in Current
Reporting Year
WR-E
Required
WR 1-060
DESCRIPTION
66
240
A
Waste Stream Description
WR-A
Required
WR 1-040
NOTES
306
240
A
Comments / Notes
Bottom of
Form
Total Record Length:
545
June 2009
A-42
File Specification Guide
-------
WR1 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
WR1-010
Handler ID must exist in S11.
HANDLER ID must exist in SI1
WR1-020
Page Number must be greater than zero.
HZ POO
WR1-030
Waste Number must equal '1', '2', or '3'
SUB PG NUM = T or'2' or '3'
WR1-040
Waste Stream Description must be provided.
DESCRIPTION <> ''
WR1-050
The first two characters of the Off-Site Handler EPA ID Number
must be a state postal code in LU STATE or 'FC' (foreign country)
SUBSTR(IO TDR ID, 1,2) = state postal code in LU STATE or'FC'
WR1-060
Total Quantity Received in Current Reporting Year must be greater
than zero and less than 99,999,999,999.999999.
IO TDR QTY > 0 and <= 99999999999.999999
WR1-070
Unit of Measure must equal a headquarter-defined unit of measure
in LU BR UOM.
UNIT OF MEASURE = headquarter-defined unit of measure in
LU BR UOM
WR1-080
If Unit of Measure equals '5', '6', or '7', then Density must be greater
than zero else Density must equal 0.
If UNIT OF MEASURE = '5' or '6' or T Then WST DENSITY > 0
Else WST DENSITY = 0
WR1-090
If Unit of Measure equals '5', '6', or '7', then Density Unit of Measure
must equal a headquarter-defined unit of measure in
LU_DENSITY_UOM else Density Unit of Measure must equal
blank.
If UNIT OF MEASURE = '5' or '6' or T Then
DENSITY UNIT OF MEASURE = headquarter-defined density unit of
measure in LU DENSITY UOM
Else DENSITY UNIT OF MEASURE = "
WR1-100
Form Code must equal a headquarter-defined form code in
LU FORM CODE.
FORM CODE = headquarter-defined form code in LU FORM CODE
WR1-110
Management Method must equal a headquarter-defined
management method in LU MANAGEMENT METHOD.
MANAGEMENT METHOD = headquarter-defined management method in
LU MANAGEMENT METHOD
WR1-120
If Include in National Report in the SI1 file equals 'N' then Include in
National Report must equal 'N' else Include in National Report must
equal 'N' or 'Y'.
If INCLUDE IN NATIONAL REPORT in SI1 = 'N' Then
INCLUDE IN NATIONAL REPORT = 'N'
Else INCLUDE IN NATIONAL REPORT = 'N' or 'Y'
WR1-130
For each handler, page number, and waste number in WR1, one
record must exist in WR2 or WR3.
For each HANDLERJD, HZ_PG, and SUB_PG_NUM in WR1 there must
be a record in WR2 or WR3.
June 2009
A-43
File Specification Guide
-------
FLAT FILE ID#-WR2
Source Form: WR Description: EPA Hazardous Waste Codes
This file captures the information contained in Item B of the WR form
there can be multiple waste codes for each reported waste.
. The relationship of these data records to the reported waste is n:1, that is,
Key Fields: Handler ID (HANDLERJD); Page Number (HZ_PG); Waste Number (SUB_PG_NUM); EPA Waste Code (EPA_WASTE_CODE).
Each record in the WR2 file must contain a unique combination of the Handler ID, Page Number, Waste Number, and EPA 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 Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Required
WR2-010
HZ PG
13
5
I
Paqe Number
Required
WR2-010
SUB PG NUM
18
1
I
Waste Number
Required
WR2-010
EPA WASTE CODE
19
4
A
EPA Hazardous Waste Code
WR-B
Required
WR2-020
Total Record Length:
22
June 2009
A-44
File Specification Guide
-------
WR2 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
WR2-010
Handler ID, Page Number and Waste Number must exist in WR1.
HANDLER ID, HZ PG, and SUB PG NUM must exist in WR1
WR2-020
EPA Waste Code must equal a headquarters-defined waste code in
LU WASTE CODE.
EPA WASTE CODE = headquarters-defined waste code in
LU WASTE CODE.
June 2009
A-45
File Specification Guide
-------
FLAT FILE ID#- WR3
Source Form: WR Description: State Hazardous Waste Codes
This file captures the information contained in Item C of the WR form
there can be multiple waste codes for each reported waste.
. The relationship of these data records to the reported waste is n:1, that is,
Key Fields: Handler ID (HANDLERJD); Page Number (HZ_PG); Waste Number (SUB_PG_NUM); State Waste Code (STATE_WASTE_CODE).
Each record in the WR3 file must contain a unique combination of the Handler ID, Page Number, Waste Number, and State 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 Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
Required
WR3-010
HZ PG
13
5
I
Paqe Number
Required
WR3-010
SUB PG NUM
18
1
I
Waste Number
Required
WR3-010
STATE WASTE CODE
19
6
A
State Hazardous Waste Code
WR-C
Required
WR3-020
Total Record Length:
24
June 2009
A-46
File Specification Guide
-------
WR3 Flat File Edit Specifications
Edit Number
Edit Description
Select Logic
WR3-010
Handler ID, Page Number and Waste Number must exist in WR1.
HANDLER ID, HZ PG, and SUB PG NUM must exist in WR1
WR3-020
State Waste Code must equal an implementer-defined waste code
in LU WASTE CODE.
STATE WASTE CODE = implementer-defined waste code in
LU WASTE CODE.
June 2009
A-47
File Specification Guide
-------
FLAT FILE ID# - 011
Source Form: Ol Description:
Identification of All Handlers to Whom or From Whom Waste was Shipped, and Transporters
This file captures information from the Ol form. This flat file should never be included in submissions to RCRAInfo.
Key Fields: Handler ID (HANDLERJD); Page Number (OSITE_PGNUM). Each record in the OI1 file must contain a unique combination of the
Handler ID and Page Number.
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
HANDLER ID
1
12
A
EPA Identification Number
OSITE PGNUM
13
5
I
Page Number
OFF ID
18
12
A
Off-Site Installation or Transporter EPA
ID Number
Ol-A
WST GEN FLG
30
1
A
Handler Type = Generator
(Checked = 'Y', Unchecked and not
implementer-required = 'U',
Unchecked and implementer-required
= 'N')
Ol-C
WST TRNS FLG
31
1
A
Handler Type = Transporter
(Checked = 'Y', Unchecked and not
implementer-required = 'U',
Unchecked and implementer-required
= 'N')
Ol-C
WST TSDR FLG
32
1
A
Handler Type = Receiving Facility
(Checked = 'Y', Unchecked and not
implementer-required = 'U',
Unchecked and implementer-required
= 'N')
Ol-C
ONAME
33
40
A
Name of Off-Site Installation or
Transporter
Ol-B
01 STREET
73
30
A
Installation or Transporter Street
Addressl
Ol-D
02STREET
103
30
A
Installation or Transporter Street
Address2
Ol-D
OCITY
133
25
A
City
Ol-D
OSTATE
158
2
A
State
Ol-D
OZIP
160
9
A
Zip Code
Ol-D
June 2009
A-48
File Specification Guide
-------
Field Name
Starting
Column
Field
Length
Data
Type
Description
Location
on Form
Required /
Cond.
Required
Edit
Number(s)
NOTES
169
240
A
Comments / Notes
Bottom of
Ol Form
Total Record Length:
408
June 2009
A-49
File Specification Guide
-------
APPENDIX B
Hazardous Waste Report Annotated Forms
-------
OMB Number; Expiration Date
SEND
COMPLETED
FORM TO:
The Appropriate
State or Regional
Office.
United States Environmental Protection Agency
RCRA SUBTITLE C SITE IDENTIFICATION FORM
1. Reason for
Submittal
MARK ALL
BOX(ES) THAT
APPLY
Reason for Submittal:
~ To provide an Initial Notification (first time submitting site identification information / to obtain an EPA ID number for this
location)
~ To provide a Subsequent Notification (to update site identification information for this location)
~ As a component of a First RCRA Hazardous Waste Part A Permit Application
~ As a component of a Revised RCRA Hazardous Waste Part A Permit Application (Amendment # )
~ As a component of the Hazardous Waste Report (If marked, see sub-bullet below)
~ Site was a TSD facility and/or generator of >1,000 kg of hazardous waste, >1 kg of acute hazardous waste, or
>100 kq of acute hazardous waste spill cleanup in one or more months of the report vear (or State equivalent LQG
regulations)
2. Site EPA ID
Number
EPA ID Number I I I 11 I I 11 I I 11 I I I handler id
3. Site Name
SI1 File
Name: HANDLER_NAME
4. Site Location
Information
SI1 File
street Address: LOCATION STREET NO, LOCATION STREET1, LOCATION STREET2
City, Town, or Village: LOCATION CITY
County: COUNTY CODE
state: LOCATION STATE
Country: LOCATION_COUNTRY
Zip Code: LOCATION_ZIP
5. Site Land Type
SI1 File
EH Private EH County EH District EHFederal EH Tribal EH Municipal EH State EH Other LAND TYPE
6. NAICS Code(s)
for the Site
(at least 5-digit
codes) SI3 File
A. I I I I I I I NAir.s r.nriF
C. I I I I I I I
B- I I I I I I I
D. I I I I I I I
7. Site Mailing
Address
SI1 File
street or P.O. Box: MAIL STREET NO, MAIL STREET1, MAIL STREET2
City, Town, or Village: MAIL_CITY
state: MAIL STATE
Country: MAIL COUNTRY
Zip Code: MAIL ZIP
8. Site Contact
Person
SI1 File
First Name: CONTACT FIRST NAME
Ml: Last: CONTACT LAST NAME
Title: CONTACT TITLE CONTACT MIDDLE INITIAL
street or P.O. Box: CONTACT STREET NO, CONTACT STREET1, CONTACT STREET2
City, Town or Village: CONTACT_CITY
state: CONTACT STATE
Country: CONTACT COUNTRY
Zip Code: CONTACT ZIP
Email: CONTACT EMAIL ADDRESS
Phone: CONTACT PHONE Ext.: CONTACT PHONE EXT
Fax: CONTACT FAX
9. Legal Owner
and Operator
of the Site
SI2 File
A. Name of Site's Legal Owner: OWNER_0PERATOR_NAME
Date Became
Owner: DATE BECAME CURRENT
Owner Type: EH Private EH County EH District EH Federal EH Tribal EH Municipal EH State EH Other
street or P.O. Box: STREET NO, STREET1, STREET2 OWNER OPERATOR TYPE
City, Town, or Village: CITY
Phone: PHONE
State: STATE
Country: COUNTRY
Zip Code: ZIP
B. Name of Site's Operator: OWNER_OPERATOR_NAME OWNER_OPERATOR_TYPE
Date Became
Operator: DATE BECAME CURRENT
^Typ^°r ^ Private EH County EH District EH Federal EH Tribal EH Municipal I I State I I Other
EPA Form 8700-12, 8700-13 A/B, 8700-23 (Revised 06/2009)
Pagel of
-------
OMB Number; Expiration Date
10. Type of Regulated Waste Activity (at your site)
Mark "Yes" or "No" for all current activities (as of the date submitting the form); complete any additional boxes as instructed.
A. Hazardous Waste Activities; Complete all parts 1-7. SI1 File
Y| I N| I 1. Generator of Hazardous Waste FED_WASTE_GENERATOR
If "Yes", mark only one of the following - a, b, or c.
~ a. LQG: Generates, in any calendar month, 1,000 kg/mo
(2,200 lbs./mo.) or more of hazardous waste; or
Generates, in any calendar month, or
accumulates at anytime, more than 1 kg/mo (2.2
lbs./mo) of acute hazardous waste; or
Generates, in any calendar month, or
accumulates at anytime, more than 100 kg/mo
(220 lbs./mo) of acute hazardous spill cleanup
material.
Q b. SQG: 100 to 1,000 kg/mo (220-2,200 Ibs./mo) of non-
acute hazardous waste.
| | c. CESQG: Less than 100 kg/mo (220 Ibs./mo) of non-acute
hazardous waste.
If "Yes" above, indicate other generator activities.
d. Short-Term Generator (generate from a short-term or one-
time event and not from on-going processes). If "Yes",
provide an explanation in the Comments section.
S H O RT_TE RM_GE N E RATO R
e. United States Importer of Hazardous Waste
IMPORTER_ACTIVITY
f. Mixed Waste (hazardous and radioactive) Generator
MIXED WASTE GENERATOR
yDnD 2. Transporter of Hazardous Waste
If "Yes", mark all that apply.
~ a. Transporter TRANSPORTER
|—| b. Transfer Facility (at your site)
'—1 TRANSFER_FACILITY
Y| | N| | 3. Treater, Storer, or Disposer of
Hazardous Waste Note: A hazardous
waste permit is required for these activities.
TSD_ACTIVITY
yDnD 4- Recycler of Hazardous Waste
RECYCLER_ACTIVITY
YnNn Exempt Boiler and/or Industrial Furnace
If "Yes", mark all that apply.
~
~
a. Small Quantity On-site Burner
Exemption
ONSITE_BURNER_EXEMPTION
b. Smelting, Melting, and Refining
Furnace Exemption
FURNACE EXEMPTION
yd Nim
YD nD
yd nD
yDnD 6. Underground Injection Control
UNDERGROUND_INJECTION_ACTIVITY
Y| | N| | 7. Receives Hazardous Waste from Off-site
OFF SITE RECEIPT
B. Universal Waste Activities; Complete all parts 1-2. SI6 File
YD N Q 1. Large Quantity Handler of Universal Waste (you
accumulate 5,000 kg or more) [refer to your State
regulations to determine what is regulated]. Indicate
types of universal waste managed at your site. If "Yes",
mark all that apply.
UNIVERSAL WASTE
ACCUMULATE
a.
Batteries
~
b.
Pesticides
~
c.
Mercury containing equipment
~
d.
Lamps
~
e.
Other (sDecifv)
~
f.
Other (sDecifv)
~
g-
Other (specify)
~
Yd nD 2. Destination Facility for Universal Waste
Note: A hazardous waste permit may be required for this
activity.
UNIVERSAL WASTE DEST FACILITY
C. Used Oil Activities; Complete all parts 1-4. SI1 File
Y| I n| I 1- Used Oil Transporter
If "Yes", mark all that apply.
I I a. Transporter USED_OIL_TRANSPORTER
|—| b. Transfer Facility (at your site)
1—1 USED_OIL_TRANSFER_FACILITY
Y| I n| I 2. Used Oil Processor and/or Re-refiner
If "Yes", mark all that apply.
Q a. Processor USED_OIL_PROCESSOR
Q b. Re-refiner USED_OIL_REFINER
YEH^O 3. Off-Specification Used Oil Burner
USED_OIL_BURNER
Y| I N| I 4. Used Oil Fuel Marketer
If "Yes", mark all that apply.
~
~
a. Marketer Who Directs Shipment of
Off-Specification Used Oil to Off-
Specification Used Oil Burner
USED_OIL_MARKET_BURNER
b. Marketer Who First Claims the Used
Oil Meets the Specifications
USED OIL SPEC MARKETER
EPA Form 8700-12, 8700-13 A/B, 8700-23 (Revised 06/2009)
Page 2 of
-------
OMB Number; Expiration Date
D. Eligible Academic Entities with Laboratories—Notification for opting into or withdrawing from managing laboratory hazardous
wastes pursuant to 40 CFR Part 262 Subpart K SI1 File
~ You must check with your State to determine if you are eligible to manage laboratory hazardous wastes pursuant to 40 CFR Part
262 Subpart K
~ 1. Opting into or currently operating under 40 CFR Part 262 Subpart K for the management of hazardous wastes in laboratories
See the item-by-item instructions for definitions of types of eligible academic entities. Mark all that apply:
~ a. College or University
SUBPART_K_COLLEGE
~ b. Teaching Hospital that is owned by or has a formal written affiliation agreement with a college or university
SUBPART_K_HOSPITAL
| | c. Non-profit Institute that is owned by or has a formal written affiliation agreement with a college or university
SUBPART_K_NONPROFIT
I I 2. Withdrawing from 40 CFR Part 262 Subpart K for the management of hazardous wastes in laboratories
SUBPART K WITHDRAWAL
11. Description of Hazardous Waste
A. Waste Codes for Federally Regulated Hazardous Wastes. Please list the waste codes of the Federal hazardous wastes handled at
your site. List them in the order they are presented in the regulations (e.g., D001, D003, F007, U112). Use an additional page if more
spaces are needed SI4 File
EPA WASTE CODE
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 SI5 File
STATE WASTE CODE
EPA Form 8700-12, 8700-13 A/B, 8700-23 (Revised 06/2009)
Page 3 of
-------
OMB Number; Expiration Date
12. Notification of Hazardous Secondary Material (HSM) Activity
yD nD Are you notifying under 40 CFR 260.42 that you will begin managing, are managing, or will stop managing hazardous
secondary material under 40 CFR 261.2(a)(2)(ii), 40 CFR 261.4(a)(23), (24), or (25)?
If "Yes", you must fill out the Addendum to the Site Identification Form: Notification for Managing Hazardous Secondary
Material.
13. Comments SI1 File
NOTES
14. 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 fines and imprisonment for knowing violations. For the RCRA
Hazardous Waste Part A Permit Application, all owner(s) and operator(s) must sign (see 40 CFR 270.10(b) and 270.11). SI7 File
Signature of legal owner, operator, or an
authorized representative
Name and Official Title (type or print)
Date Signed
(mm/dd/yyyy)
CERT_FIRST_NAME, CERT_MIDDLE_INITIAL,
CERT LAST NAME, CERT TITLE
CERT SIGNED DATE
EPA Form 8700-12, 8700-13 A/B, 8700-23 (Revised 06/2009)
Page 4 of
-------
OMB Number; Expiration Date
ADDENDUM TO THE SITE IDENTIFICATION FORM:
NOTIFICATION OF HAZARDOUS SECONDARY MATERIAL ACTIVITY
Before filling out this section:
~ You must check with your State to determine if you are eligible to manage hazardous secondary material under 40 CFR
261.2(a)(2)(H), 261,4(a)(23), (24), or (25). (See also http://www.epa.aov/epawaste/hazard/dsw/statespf.htm.')
~ You must be managing hazardous secondary material, which is secondary material (e.g., spent material, by-product, or sludge) that
when discarded, would be identified as hazardous waste under 40 CFR Part 261. Do not include any information regarding your
hazardous wastes in this section.
~ You must submit a completed Site Identification Form, including this Addendum, prior to operating under the exclusion(s) and by
March 1 of each even-numbered year thereafter to your regulatory authority using the Site Identification Form as pursuant to 40 CFR
260.42. Persons who must staisfy this notification requirement can submit information at the same time as their Biennial Report
(which is also due by March 1 of each even-numbered year).
~ If you stop managing hazardous secondary material in accordance with the exclusions(s) and do not expect to manage any amount of
hazardous secondary material under the exclusions(s) for at least one year, you must also submit a completed Site Identification
Form, including this Addendum, within thirty (30) days pursuant to 40 CFR 260.42.
1. Indicate reason for notification. Include dates where requested. SI9 File
REASON_FOR_NOTIFICATION
~ Notifying that the facility will begin manage hazardous secondary material as of
~ Re-notifying that the facility is still managing hazardous secondary material.
~ Notifying that the facility has stopped managing hazardous secondary material as of
. (mm/dd/yyyy). HSM_EFFECTIVE_DATE
. (mm/dd/yyyy).
2. Description of hazardous secondary material (HSM) activity. Please list the appropriate codes and quantities in short tons to describe
your hazardous secondary material activity ONLY (do not include any information regarding your hazardous wastes in this section). Use
additional pages if more space is needed.
a. Facility code
(answer using
codes listed in the
Code List section of
the instructions)
SIA File
Waste code(s) for hazardous
secondary material (HSM)
SIB File
c. Estimated short tons of
HSM to be managed
annually
SIA File
d. Actual short tons
of HSM that was
managed during the
most recent odd-
numbered year
SIA File
e. Land-based unit
code
(answer using codes
listed in the Code
List section of the
instructions)
SIA File
FACILITY CODE
WASTE CODE
ESTIMATE SHORT TONS
ACTUAL SHORT TONS
LAND BASED UNITS
Facility has financial assurance pursuant to 40 CFR 261 Subpart H. (Financial assurance is required for reclaimers and intermediate
facilities managing hazardous secondary material under 40 CFR 261,4(a)(24) and (25)). SI9 File
yD nQ Does this facility have financial assurance pursuant to 40 CFR 261 Subpart H? HSM_FA
EPA Form 8700-12, 8700-13 A/B, 8700-23 (Revised 06/2009)
Addendum Page of
-------
OMB Number: ; Expiration Date
BEFORE COPYING FORM, ATTACH SITE IDENTIFICATION LABEL
OR ENTER:
SITE NAME:
EPA ID Number
GM
FORM
U.S. ENVIRONMENTAL
PROTECTION AGENCY
2009 Hazardous Waste Report
WASTE GENERATION
AND MANAGEMENT
Sec. 1
A. Waste description: GM1 File DESCRIPTION
B. EPA hazardous waste code(s) GM2 File EPA_WASTE_CODE C. State hazardous waste code(s) GM3 File STATE_WASTE_CODE
D. Source code
IGI I I
GM1 File
SOURCE CODE
Management Method code for Source code G25
MANAGEMENT METHOD
E. Form code
|w| | | |
GM1 File
FORM CODE
F. Quantity generated in 2009 GM1 File
GEN_QTY
UOM | |
UNIT_OF_MEASURE
Density I I |.|
~ lbs/gal ~ sg
WST DENSITY DENSITY UNIT OF MEASURE
G. Waste
minimization code
u
GM1 File
WASTE MIN CODE
Sec. 2
Was any of this waste managed on site? GM1 File
~ Yes (CONTINUE TO ON-SITE PROCESS SYSTEM 1) ON_SITE_MANAGEMENT
~ No (SKIP TO SEC. 3)
ON-SITE PROCESS SYSTEM 1 GM5 File
ON-SITE PROCESS SYSTEM 2
On-site Management
Method code
MANAGEMENT METHOD^"
Quantity treated, disposed, or
recycled on site in 2009
SYS TDR QTY
On-site Management
Method code
Quantity treated, disposed, or
recycled on site in 2009
Sec. 3
A. Was any of this waste shipped off site in 2009 for treatment, disposal, or recycling? GM1 File
~ Yes (CONTINUE TO ITEM B) OFF_SITE_SHIPMENT
~ No (FORM IS COMPLETE)
Site 1
GM4 File
B. EPA ID No. of facility to which waste was shipped
IO TDR ID
C. Off-site Management
Method code shipped to
MANAGEMENT METHOD
D. Total quantity shipped in 2009
IO TDR QTY
Site 2
B. EPA ID No. of facility to which waste was shipped
C. Off-site Management
Method code shipped to
D. Total quantity shipped in 2009
Site 3
B. EPA ID No. of facility to which waste was shipped
C. Off-site Management
Method code shipped to
D. Total quantity shipped in 2009
Comments: GM1 File
NOTES
Page of
-------
OMB Number: ; Expiration Date
BEFORE COPYING FORM, ATTACH SITE IDENTIFICATION LABEL
U.S. ENVIRONMENTAL
OR ENTER:
PROTECTION AGENCY
SITE NAME:
2009 Hazardous Waste Report
EPA ID Number | | | || | | || | | || | | |
WR
WASTE RECEIVED
FORM
FROM OFF SITE
Waste 1
A. Description of hazardous waste WR1 File DESCRIPTION
B. EPA hazardous waste code(s)
C. State hazardous waste code(s)
D. Off-site handler EPA ID number
I I I I I I I
WR1 File IO_TDR_ID
WR2 File EPA_WASTE_CODE
WR3 File STATE_WASTE_CODE
E. Quantity received in 2009
F. UOM WR1 File
UNIT_OF_MEASURE
Density | | I ¦ I I I
WST_DENSITY ~ lbs/gal ~ sg
DENSITY_UNIT_OF_MEASURE
G. Form code
I w| | | |
H. Management Method code
WR1 File IO_TDR_QTY
WR1 File
FORM_CODE
WR1 File
MANAGEM ENT_M ETH OD
Waste 2
A. Description of hazardous waste
B. EPA hazardous waste code(s) C. State hazardous waste code(s) D. Off-site handler EPA ID number
E. Quantity received in 2009
F. UOM
Density
G. Form code
w|
~ lbs/gal ~ sg
H. Management Method code
Waste 3
A. Description of hazardous waste
B. EPA hazardous waste code(s)
C. State hazardous waste code(s) D. Off-site handler EPA ID number
E. Quantity received in 2009
F. UOM
Density
G. Form code
w|
~ lbs/gal ~ sg
H. Management Method code
Comments: WR1 File
NOTES
Page of
-------
OMB Number: ; Expiration Date
BEFORE COPYING FORM, ATTACH SITE IDENTIFICATION LABEL
OR ENTER:
SITE NAME:
EPA ID NO:
Ol
FORM
U.S. ENVIRONMENTAL
PROTECTION AGENCY
2009 Hazardous Waste Report
OFF-SITE
IDENTIFICATION
Site 1
011 File
A. EPA ID number of off-site installation or transporter
B. Name of off-site installation or transporter
ONAME
OFFJD
C. Handler type (MARK ALL THAT APPLY)
~ Generator WST_GEN_FLG
~ Transporter WST_TRANS_FLG
~ Receiving facility WST_TSDR_FLG
D. Address of off-site installation
street 01 STREET, 02STREET
City OCITY
State | | | Zip | | | | | |-| | | | |
OSTATE OZIP
Site 2
A. EPA ID number of off-site installation or transporter
B. Name of off-site installation or transporter
C. Handler type (MARK ALL THAT APPLY)
~ Generator
~ Transporter
~ Receiving facility
D. Address of off-site installation
Street
City
State | | | Zip | | | | | |-| | | | |
Site 3
A. EPA ID number of off-site installation or transporter
B. Name of off-site installation or transporter
C. Handler type (MARK ALL THAT APPLY)
~ Generator
~ Transporter
~ Receiving facility
D. Address of off-site installation
Street
City
State | | | Zip | | | | | |-| | | | |
Site 4
A. EPA ID number of off-site installation or transporter
B. Name of off-site installation or transporter
C. Handler type (MARK ALL THAT APPLY)
~ Generator
~ Transporter
~ Receiving facility
D. Address of off-site installation
Street
City
State | | | Zip | | | | | |-| | | | |
Comments:
NOTES
Page of
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INSTRUCTIONS FOR FILLING OUT THE OI FORM -
OFF-SITE IDENTIFICATION
Who Must Submit this Form
Sites required to file the 2009 Hazardous Waste Report must submit the OI Form if:
• The OI Form is required by your State; AND
• The site received hazardous waste from off-site or sent hazardous waste off-site during 2009.
Purpose of this Form
The OI Form documents the names and addresses of off-site installations and transporters.
How to Fill out this Form
The OI Form is divided into five identical parts. You must fill out one part for each off-site installation to
which you shipped hazardous waste, each off-site installation from which you received hazardous waste,
and each transporter you used to ship hazardous waste during 2009. If these off-site installations and
transporters total more than four, you must photocopy and complete additional copies of the form. Prior
to photocopying, place the pre-printed site identification label in the top left-hand corner of the form or, if
you did not receive pre-printed labels, enter the site name and EPA Identification Number in this space.
Use the Comments section at the end of the form to clarify any entry (e.g., "Other" responses) or to
continue any entry. When entering information in the Comments section, cross-reference the site number
and item letter to which the comment refers.
Item-By-Item Instructions
Complete Items A through D for each off-site installation to which you shipped hazardous waste and each
off-site installation from which you received hazardous waste during 2009. Complete Items A through C
for each transporter you used during the year (address in Item D is not required for transporters).
Item A - EPA ID No. of Off-site Installation or Transporter
Enter the 12-digit EPA ID number of the off-site installation to which you shipped hazardous waste or
from which you received hazardous waste. Or, enter the EPA ID number of the transporter who shipped
hazardous waste to or from your site. Each EPA ID number should appear only once. If the off-site
installation or transporter did not have an EPA ID number during 2009, leave blank if this item is not
applicable or "don't know" in Item A and note the reason in the Comments section.
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OI Form
(continued)
Item B - Name of Off-Site Installation or Transporter
Enter the name of the off-site installation or transporter reported in Item A.
Item C - Handler Type
Place an "X" in all boxes that apply to the handler type (i.e., generator, transporter, or receiving facility)
of the off-site installation or transporter reported in Item A.
Item D - Address of Off-site Installation
Enter the address of the off-site installation reported in Item A. If the EPA ID number reported in Item A
refers to a transporter, leave blank if this item is not applicable or "don't know" in Item D.
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End of document.
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