SEPA United States Environmental Protection Agency Office of Resource Conservation and Recovery Washington, DC 20460 June 2009 RCRAInfo File Specification Guide 2009 Hazardous Waste Report Submissions RCBA ------- 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 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 3.4.5 Generating a Control File 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 June 2009 File Specification Guide ------- 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 A.3 Flat File Specifications and Data Edits A-2 FLAT FILE ID# - CTL A-2 CTL Flat File Edit Specifications A-3 FLAT FILE ID# - SI1 A-4 511 Flat File Edit Specifications A-8 FLAT FILE ID# - SI2 A-12 512 Flat File Edit Specifications A-13 FLAT FILE ID# - SI3 A-14 513 Flat File Edit Specifications A-15 FLAT FILE ID# - SI4 A-16 514 Flat File Edit Specifications A-17 FLAT FILE ID# - SI5 A-18 515 Flat File Edit Specifications A-19 FLAT FILE ID# - SI6 A-20 516 Flat File Edit Specifications A-21 FLAT FILE ID# - SI7 A-22 517 Flat File Edit Specifications A-23 FLAT FILE ID# - SI8 A-24 518 Flat File Edit Specifications A-25 FLAT FILE ID# - SI9 A-26 519 Flat File Edit Specifications A-27 FLAT FILE ID# - SIA A-28 SIA Flat File Edit Specifications A-29 FLAT FILE ID# - SIB A-30 SIB Flat File Edit Specifications A-31 FLAT FILE ID# - GM1 A-32 GM1 Flat File Edit Specifications A-34 FLAT FILE ID# - GM2 A-36 GM2 Flat File Edit Specifications A-37 FLAT FILE ID# - GM3 A-38 GM3 Flat File Edit Specifications A-39 FLAT FILE ID# - GM3 A-40 GM3 Flat File Edit Specifications A-41 FLAT FILE ID# - GM4 A-42 GM4 Flat File Edit Specifications A-43 FLAT FILE ID#-WR1 A-44 WR1 Flat File Edit Specifications A-45 FLAT FILE ID#- WR2 A-46 WR2 Flat File Edit Specifications A-47 FLAT FILE ID#-WR3 A-48 WR3 Flat File Edit Specifications A-49 FLAT FILE ID# - 011 A-50 APPENDIX B - HAZARDOUS WASTE REPORT ANNOTATED FORMS B-1 June 2009 File Specification Guide ------- 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. June 2009 1 File Specification Guide ------- (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. Ol Form The Off-site Identification Form (Ol Form) captures the names and addresses of off-site installations and transporters. Ol information is not loaded into the RCRAInfo database, but a file specification has been included to facilitate data sharing. June 2009 2 File Specification Guide ------- 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. June 2009 3 File Specification Guide ------- 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. June 2009 4 File Specification Guide ------- 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. This data will reside in "staging" tables until the cycle is completed at which time the data will be moved from the "staging" tables to the production tables. The BR load process will NOT utilize the 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. June 2009 5 File Specification Guide ------- 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. The Hazardous Waste Report data submission must also include a control file for proper loading into the RCRAInfo database. The control file specifies each flat file to be loaded and the number of records included in the flat file. To successfully load data into RCRAInfo, all data elements for every submitted flat file must meet formatting and data quality standards, including the control file (which specifies each flat file submitted). See Appendix A for specifications on standards and formats for all flat files, including the control file. June 2009 6 File Specification Guide ------- 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 and can contain a minimum of two (2) files including a mandatory control file that lists the names of the other files in the 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. June 2009 7 File Specification Guide ------- An example file name would be RCRKS01SIX.ZIP. Note: The activity location (state code) embedded in the file name must match the state code within the account 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. • Generate a control file for the translated flat files. 3.4.1 Identify Sites The State/Region must submit information for sites required to file the 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: June 2009 8 File Specification Guide ------- 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 database. Any data failing to conform to the appropriate data quality edits will result in the entire data submission to RCRAInfo being rejected. June 2009 9 File Specification Guide ------- 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. 3.4.5 Generating a Control File The translator must include a Control file with all Hazardous Waste Report data submissions. The specifications for this file are included in Appendix A. The control file records contain information describing the flat files being submitted. One control file record is created for each submitted flat file. These records MUST be in the following order: SI1, SI2, SI3, SI4, SI5, SI6, SI7, SI8, SI9, SIA, SIB, GM1, GM2, GM3, GM4, GM5, WR1, WR2, WR3 Exhibit 1. Control File Flat File Order Note: The control file should contain information only on the flat files submitted. If a flat file is not submitted, no information for the file should be placed in the control file. The 011 flat file should never be included in the control file because this form is not to be submitted to the RCRAInfo database. June 2009 10 File Specification Guide ------- 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". June 2009 11 File Specification Guide ------- 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 ------- 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 ------- 5.0 SUBMISSION AND STATUS REPORT INSTRUCTIONS The RCRAInfo application will provide an interface for the implementers to load their 2009 Biennial Report submissions into RCRAInfo. Once this interface is created, this section will provide step-by-step instructions for flat file submissions and information regarding the load status report. June 2009 14 File Specification Guide ------- 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 ------- A.3 Flat File Specifications and Data Edits FLAT FILE ID# - CTL Source Form: N/A Description: Name and statistical information for each flat file being submitted This file is used to describe the flat files being submitted electronically. There must be one record in the control file for each flat file being submitted. Each CTL record contains a flat file name, the date the flat file was created in "CCYYMMDD" format, and the number of records (lines) in the flat file. When creating the Control File, first list records S11-SIB, followed by GM1-GM5, followed by WR1-WR3. The control file must never contain entries for file OI1. Only create control records for files that contain one or more records. File name must be in the following format: SSCTLNNN.FIL where SS = State Postal Code and NNN = Julian Date when the file was created. Description Starting Column Field Length Data Type Edit Number(s) File Name 1 12 A CTL-010, CTL-020, CTL-030 Date Created (CCYYMMDD) 13 8 Date CTL-040 Record Count 21 8 I CTL-050 BR Reporting Cycle Year (2009) 29 4 I CTL-060 Total Record Length: 32 June 2009 A-2 File Specification Guide ------- CTL Flat File Edit Specifications Edit Number Edit Description Select Logic CTL-010 The first two characters of the file name must match the state code for which data is being submitted. SUBSTR(FILE NAME,1,2) = state postal code of submission CTL-020 Characters 3-5 of the file name must equal 'CTL' SUBSTR(FILE NAME,3,3) ='CTL' CTL-030 Characters 9-12 of the file name must equal '.FIL' SUBSTR(FILE NAME,9,4) ='.FIL' CTL-040 Date Created must be greater than or equal to January 1, 2010 and no later than today. DATE CREATED >= '20100101' and DATE CREATED <= Today CTL-050 Record Count must be greater than zero. RECORD COUNT>0 CTL-060 BR Cycle must equal '2009' BR CYCLE = '2009' June 2009 A-3 File Specification Guide ------- 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 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 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) 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 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 June 2009 A-5 File Specification Guide ------- Field Name Starting Column Field Length Data Type Description Location on Form Required / Cond. Required Edit Number(s) 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 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 June 2009 A-6 File Specification Guide ------- Field Name Starting Column Field Length Data Type Description Location on Form Required / Cond. Required Edit Number(s) 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, S11-540, 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, S11-540 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, S11-540 SUBPART K WITHDRAWAL 673 1 A Withdrawing from 40 CFR Part 262 Subpart K SI-10-D Required S11-470, S11-475, 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-7 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 <> ' ' S11 -050 If Location Country equals 'US' or blank, then Location State must equal a state postal code in LU STATE. If LOCATION_COUNTRY = 'US' or' ' 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 <> ' ' 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', T, '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<> " June 2009 A-8 File Specification Guide ------- SMFIat File Edit Specifications Edit Number Edit Description Select Logic 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' or 'N'. SHORT TERM GENERATOR = 'Y' or 'N' 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' or 'N' TRANSFER FACILITY = 'Y' or 'N' 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' 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' June 2009 A-9 File Specification Guide ------- SMFIat File Edit Specifications Edit Number Edit Description Select Logic 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 Withdrawing 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' 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. June 2009 A-10 File Specification Guide ------- SMFIat File Edit Specifications Edit Number Edit Description Select Logic 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-11 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-12 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-13 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-14 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-15 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-16 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-17 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-18 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-19 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-20 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-21 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-22 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-23 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-24 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-25 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 9-060 REASON FOR NOTIFICATION 13 1 A Reason for Notification ADD-1 Required SI9-020, SI 9-050 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-26 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 If Reason for Notification equals 'R' or'S' then there must be a record in HHSM BASIC5 where Reason for Notification equals T If REASON FOR NOTIFICATION = 'R' or'S' Then there must be a record in HHSM_BASIC5 where REASON_FOR_NOTIFICATION = T for this facility. June 2009 A-27 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 HSM SEQ NUMBER 13 2 I Hazardous Secondary Material Sequence Number Required SIA-010 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-28 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' June 2009 A-29 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-30 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-31 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-32 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-33 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-34 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. For each HANDLER ID and HZ PG in GM1 there must be a record in GM2. 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-35 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-36 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-37 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-38 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-39 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-40 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-41 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-42 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-43 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-44 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. For each HANDLERJD, HZ_PG, and SUB_PG_NUM in WR1 there must be a record in WR2. June 2009 A-45 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-46 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-47 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-48 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-49 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-50 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-51 File Specification Guide ------- APPENDIX B Hazardous Waste Report Annotated Forms ------- End of document. ------- |