toxic release inventory xml schema user’s guide · 9/9/2005 · windsor solutions, inc. tri xml...

Toxic Release InventoryXML Schema User’s GuideRelease Status: FinalRevision Date: 9/9/2005

Windsor Solutions, Inc. TRI XML Schema User’s Guide

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TABLE OF CONTENTS

SCHEMA OVERVIEW.............................................................................................................................................5

XML SCHEMA TO TRI FORM R MAPPING ........................................................................................................7

TRI MODULE .........................................................................................................................................................10

SUBMISSION MODULE ............................................................................................................................................11

FACILITY MODULE .................................................................................................................................................12

REPORT MODULE ...................................................................................................................................................14

REPORTMETADATA MODULE.................................................................................................................................15

CHEMICALIDENTIFICATION MODULE ......................................................................................................................16

CHEMICALACTIVITIESANDUSES MODULE ..............................................................................................................17

ONSITERELEASEQUANTITY MODULE......................................................................................................................18

TRANSFERLOCATION MODULE ...............................................................................................................................22

WASTETREATMENTDETAILS MODULE ....................................................................................................................24

ONSITERECOVERYPROCESS MODULE .....................................................................................................................25

ONSITERECYCLINGPROCESS MODULE ....................................................................................................................26

SOURCEREDUCTIONQUANTITY MODULE ................................................................................................................27

SOURCEREDUCTIONACTIVITY MODULE ..................................................................................................................29


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Acknowledgements

TRI Integrated Project TeamTim Antisdel – EPA Chris Clark – EPABernadine Cox – Indiana Dipti Singh – EPAJohn Dombrowski – EPA Phyllis Donahue – EPAConnie Dwyer – EPA Phani Eturu – VirginiaPat Garvey – EPA Kathy Hale – CSCMike Hart – EPA Dona Huang – VirginiaRobert Jackson – Michigan Michael Juras – South CarolinaNatalia Vainshtein – CSC Brian Stevens – IndianaLin Darlington – EPA Akachi Imegwu – EPAErin Koch - EPA Vilma Mariwalla – EPAMolly O’Neill – ECOS Josh Woodyard – EPAContractor SupportBill Geake – Windsor Solutions Guy Outred – Windsor Solutions

Prepared by:

4000 Kruse Way PlaceBuilding 2, Suite 285

Lake Oswego, OR 97035(503) 675 7833


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Document RevisionsRelease Date Status Changes

10/19/2004 DRAFT Original Draft Release

10/29/2004 FINAL DRAFT • Acknowledgements and Revisions Tables• Updated most chapters and figures with most

recent schema changes (based on FINALDRAFT schema)

9/9/2005 Final Standard EN Cover addedThis document was re-released with TRI schema v1.1.The document content has not changed since the priorrelease.


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Schema OverviewThe following diagram displays the major modules contained in the TRI XML Schema.

Figure 1: The TRI XML Schema Architecture


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Blocks with a dashed border are optional and are not required to be included in a valid TRI XMLdocument. Blocks with a raised effect indicate that the block can appear multiple times in a validfile. For example, one facility can contain a definition for one or more SIC codes. Alternatively, onereport can only correspond to a single facility (identified in the Facility block)

The structure of the Facility module mirrors TRI Form R Part I (Page 1) of the TRI Form R whilethe structure of the Report module mirrors the flow of the TRI Form R Part II (pages 2 through 5)very closely. This structure should facilitate users of the schema to quickly understand its structure.

Each Module is described in detail in the following sections. For detailed data element information,please refer to the TRI Data Exchange Template (DET) spreadsheet.

NOTE: The root of the complete TRI XML schema is TRI_TRI_v1.0.xsd.


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XML Schema to TRI Form R Mapping

The following table describes how the TRI Form R maps to the XML schema:

Part Section Section Title XML Block and Element NameI 1 Reporting Year Report\SubmissionReportingYearI 2 Trade Secret Information Report\ChemicalTradeSecretIndicatorI 3 Certification Report\CertifierName

Report\CertifierTitleTextReport\CertificationSignedDate

I 4 Facility Identification (See subsections below)I 4.1 Addresses Facility\LocationAddress

Facility\MailingAddressI 4.2 Report Facility Checkboxes Report\SubmissionEntireFacilityIndicator

Report\SubmissionPartialFacilityIndicatorReport\SubmissionFederalFacilityIndicatorReport\SubmissionGOCOFacilityIndicator

I 4.3 Technical Contact Report\TechnicalContactNameTextReport\TechnicalContactPhoneTextReport\TechncialContactEmailAddressText

I 4.4 Public Contact Report\PublicContactNameTextReport\PublicContactPhoneText

I 4.5 SIC Codes Facility\FacilitySICI 4.6 Latitude/Longitude Facility\GeographicLocationDescriptionI 4.7 Dun and Bradstreet Numbers Facility\FacilityDunBradstreetCodeI 4.8 RCRA ID Numbers Facility\RCRAIdentificationNumberI 4.9 NPDES Numbers Facility\NPDESIdentificationNumberI 4.10 UIC Numbers Facility\UICIdentificationNumberI 5 Parent Company Information (See subsection below)I 5.1 Name of Parent Company Facility\ParentCompanyNameTextI 5.2 Parent Company’s Dun &

Bradstreet NumberFacility\ParentDunBradstreet

II 1 Toxic Chemical Identity Report\ChemicalIdentificationII 1.1 CAS Number Report\ChemicalIdentificationII 1.2 Toxic Chemical Report\ChemicalIdentificationII 1.3 Generic Name Report\ChemicalIdentificationII 1.4 Dioxin Distribution Report\ChemicalIdentificationII 2 Mixture Component Identity Report\ChemicalIdentificationII 2.1 Generic Name Report\ChemicalIdentificationII 3 Activities and Uses Report\ChemicalActivitiesAndUsesII 3.1 Manufacture the Toxic Chem Report\ChemicalActivitiesAndUses

3.2 Produce the Toxic Chemical Report\ChemicalActivitiesAndUses3.3 Otherwise use the Toxic Chem Report\ChemicalActivitiesAndUses

II 4 Maximum Amt of Chem Report\MaximumChemicalAmountCodeII 5 (5.1-

5.5)Quantity Entering EachEnvironmental Medium Onsite

Report\OnsiteReleaseQuantity*


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II 5.3 Stream or Water Body Name Report\OnsiteReleaseQuantity\WaterStream*II 6 Transfers of the Toxic

Chemical in Wastes to Off-SiteLocations

Report\TransferLocation

II 6.1.A.1 Total Transfers to POTWs Report\POTWWasteQuantity\WasteQuantityMeasure

II 6.1.A.2 POTW Basis of Estimate Report\POTWWasteQuantity\QuantityBasisEstimationCode

II 6.1.B POTW Name/Address/State… Report\TransferLocationII 6.2 Name/Address/City/RCRA

Number…Report\TransferLocation

II 6.2.a Total Transfers Report\TransferLocation\TransferQuantity\TransferWasteQuantity\WasteQuantityMeasure

II 6.2.b Basis of Estimate Report\TransferLocation\TransferQuantity\TransferWasteQuantity\QuantityBasisEstimationCode

II 6.2.c Type of Waste Treatment/Disposal/Recycling…

Report\TransferLocation\TransferQuantity\WasteMangementTypeCode

II 7A Onsite Treatment Methods andEfficiency

Report\WasteTreatmentDetailsORReport\WasteTreatmentNAIndicator

II 7A.1b Waste Treatment MethodSequence

Report \WasteTreatmentDetails\WasteTreatmentMethod

II 7B Onsite Energy RecoveryProcesses

Report\OnsiteRecoveryProcesses

II 7C Onsite Recycling Processes Report\OnsiteRecyclingProcessesII 8 Source Reduction and

Recycling ActivitiesReport\SourceReductionQuantity

II 8.1a Onsite disposal to Class I UICWells

Report\SourceReductionQuantity\OnsiteUICDisposalQuantity

II 8.1b Other Onsite disposal Report\SourceReductionQuantity\OnsiteOtherDisposalQuantity

II 8.1c Offsite disposal to Class I UICWell

Report\SourceReductionQuantity\OffsiteUICDisposalQuantity

II 8.1d Total other offsite disposal Report\SourceReductionQuantity\OffsiteOtherDisposalQuantity

II 8.2 Onsite energy recovery Report\SourceReductionQuantity\OnsiteEnergyRecoveryQuantity

II 8.3 Offsite energy recovery Report\SourceReductionQuantity\OffsiteEnergyRecoveryQuantity

II 8.4 Quantity recycled onsite Report\SourceReductionQuantity\OnsiteRecycledQuantity

II 8.5 Quantity recycled offsite Report\SourceReductionQuantity\OffsiteRecycledQuantity

II 8.6 Quantity treated onsite Report\SourceReductionQuantity\OnsiteTreatedQuantity

II 8.7 Quantity treated offsite Report\SourceReductionQuantity\OffsiteTreatedQuantity


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II 8.8 Quantity released due to one-time events

Report\SourceReductionQuantity\OneTimeReleaseQuantityOrReport\SourceReductionQuantity\OneTimeReleaseNAIndicator

II 8.9 Production ratio or activityindex

Report\SourceReductionQuantity\ProductionRatioMeasureOrReport\SourceReductionQuantity\ProductionRatioNAIndicator

II 8.10.x Source Reduction Activities Report\SourceReductionActivityII 8.10.x.x Methods to Identify Activity Report\SourceReductionActivity

\SourceReductionMethodCode

* each row in Part II Section 5 (5.1-5.5.4) is reflected in a single instance of theOnsiteReleaseQuantity block. For 5.3.1-5.3.3 which deals specifically with water releases, a WaterStream block is included to describe the water body name and water-specific information.


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TRI Module

Figure 2: The TRI Data Block

The TRI element is the root element of the TRI schema. The TRI element serves as a container forone or more TRI submissions.


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Submission Module

Figure 3: The Submission Data Block

The Submission data block contains data for a single facility and may contain one or more reportsfor the facility. The Submission data block is particularly useful when conveying the data which ispackaged in a single facility TRI-ME data file, since a facility may file reports for multiplechemicals as a single transmittal.

It should be noted that because the Report data block is optional, the schema can be used to sendonly a list of one or more facilities. This would be useful for constructing a response to a datarequest for a list of facilities which met certain criteria, such as the top 10 facilities for releases of acertain chemical. Conversely, the Facility data block is optional. This allows the schema to be usedto send a list of chemicals as the response to a particular data service request without includinginformation about any facility. In either case, the Submission layer becomes unimportant, since theXML instance file simply needs to convey a list of facilities or chemicals.


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Facility Module

Figure 4: The Facility Data Block


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The Facility data block contains all of the information needed to describe the facility for which areport was filed. The Facility module leverages Exchange Network Shared Components (SCs)which are defined in the NEIEN Core Reference Model 2 (CRM2).

The FacilityIdentifier element may appear one or more times, allowing for the transmittal of a TRIFacility ID (TRIFID), Facility Registry System (FRS) ID, State FRS ID, or any other uniqueidentifier for the facility. The sc:FacilityIdentifierDataType uses theFacilitySiteIdentifierContext attribute to indicate to which system the Facility Identifiercorresponds. Note that any number of FacilityIdentifier elements can be included for a singlefacility, allowing for very flexible use. The following XML instance file snippet shows the use ofthe FacilityIdentifier element.

<Facility> <FacilityIdentifier FacilitySiteIdentifierContext="TRI">TRIFID1234</FacilityIdentifier>

<FacilityIdentifier FacilitySiteIdentifierContext="FRS">FRSID9999</FacilityIdentifier> <sc:FacilitySiteName>ACME Industries, Inc.</sc:FacilitySiteName>

...

NOTE: Values in the FacilitySiteIdentifierContext attribute are not restricted by the schema. It isassumed that this attribute may use TRI for EPA TRIS Facility ID (a.k.a. TRIFID) or FRS for theEPA Facility Registry System Facility Identifer (a.k.a. FRSID). Exchange Partners may insert theirown acronyms or system names in this attribute when adding additional facility identifiers fromother source systems, such as a state’s facility warehouse identifier.


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Report Module

Figure 5: The Report Data Block

The Report data block serves as the main container for TRI Form R data, with the exception offacility identification information which is contained in the Facility data block.

Required elements in the Report block include the Form Type (A or R), Reporting Year andChemical Identification information.

NOTE: While the schema allows multiple chemicals to be defined for one report, this should onlybe done when the schema is used to express TRI Form A data. Form R data should contain only onechemical in each Report!


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ReportMetaData Module

Figure 6: ReportMetaData Data Block

The ReportMetaData module contains data about the TRI report. This data block will only beuseful if the TRI data has been processed by EPA. For the pilot TRI data flow, it is not envisionedthat the ReportMetaData element will be used since the TRI data will have not yet been processed(i.e. cleaned and validated) by EPA when it is sent to partner nodes.


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ChemicalIdentification Module

Figure 7: ChemicalIdentification Data Block

The ChemicalIdentification data block captures all the information needed to identify the chemicalcompound on the TRI reporting form. The mapping of individual elements to the TRI Form R islisted below:

Schema Element Name Form R Data FieldCASNumber Part II, 1.1ChemicalNameText Part II, 1.2ChemicalMixtureName Part II, 1.3 or 2.1, whichever is providedDioxinDistributionXPercent Part II, 1.4DioxinDistributionNAIndicator Part II, 1.4EPAChemicalIdentifier (none)EPAChemicalRegistryName (none)EPAChemicalRegistryNameContext (none)

The EPA Chemical fields may be populated if the data has been validated against an EPA masterlist of chemicals.


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ChemicalActivitiesAndUses Module

Figure 8: ChemicalActivitiesAndUses Data Block

This module maps directly to the 14 checkboxes on Form R Part II, Section 3.1, 3.2, and 3.3


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OnsiteReleaseQuantity Module

Figure 9:OnsiteReleaseQuantity Data Block

The OnsiteReleaseQuantity module captures the information on Part II, Section 5 of the TRI FormR.

The Environmental Medium Code indicates which row in section 5 to which the data belongs.More specifically, it indicates which medium (Water, UIC Injection wells, landfills, etc) that theonsite discharge was released to.

A list of Environmental Medium Codes is listed below:


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Env. MediumCode

Section InUse?

Description

AIR FUG 5.1 Y Fugitive or non-point air emissionsAIR STACK 5.2 Y Stack or Point air emissionsWATER 5.3 Y Discharges to receiving streams or water bodiesUNINJ8795 5.4 N Underground injection to on-site wells for Reporting Years 1987

to 1995UNINJ I 5.4.1 Y Underground injection on-site to Class I WellsUNINJ IIV 5.4.2 Y Underground injection on-site to Class II through V WellsLANDF8795 5.5 N Disposal to on-site landfills for Reporting Years 1987 to 1995RCRA C 5.5.1A Y Disposal to on-site RCRA Subtitle C landfillsOTH LANDF 5.5.1B Y Disposal to other on-site landfillsLAND TREA 5.5.2 Y On-site land treatment/application farming disposalSURF IMP 5.5.3 N On-site surface impoundment disposalSI 5.5.3A 5.5.3A Y RCRA Subtitle C surface impoundmentsSI 5.5.3B 5.5.3B Y Other surface impoundmentsOTH DISP 5.5.4 Y Other on-site land disposal

The EnvironmentalMediumCode indicates which row in section 5 to which the data belongs.More specifically, it indicates which medium (Water, UIC Injection wells, landfills, etc) that theonsite discharge was released to.

NOTE: These codes were created by EPA for use in both TRIS and EnviroFacts. They wereincorporated into the TRI XML Schema for purposes of promoting consistency.

The Choice compositor allows one of the following for column A in Section 5 for all environmentalmedia; a value in pounds per year, a range code, or “N/A” was entered.

The Quantity Basis Estimation Code corresponds to column B in Section 5.

The WaterStream block only applies to WATER discharges. These data elements are only inSection 5.3.1, 5.3.2 and 5.3.3 on Form R. See the sample schema instance for an example of animplementation of the WaterStream data block. The WaterSequenceNumber element may beused to indicate the order in which the streams are listed on the Form R.

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Sample TRI XML Instance document snippet for Form R Part II Section 5

<OnsiteReleaseQuantity>

<EnvironmentalMediumCode>AIR FUG</EnvironmentalMediumCode><OnsiteWasteQuantity>

<WasteQuantityMeasure>1200</WasteQuantityMeasure><QuantityBasisEstimationCode>M</QuantityBasisEstimationCode>

</OnsiteWasteQuantity></OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>AIR STACK</EnvironmentalMediumCode><OnsiteWasteQuantity>

<WasteQuantityNAIndicator>true</WasteQuantityNAIndicator></OnsiteWasteQuantity>

</OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>WATER</EnvironmentalMediumCode><OnsiteWasteQuantity>

<WasteQuantityRangeCode>A</WasteQuantityRangeCode><QuantityBasisEstimationCode>M</QuantityBasisEstimationCode>

</OnsiteWasteQuantity><WaterStream>

<WaterSequenceNumber>1</WaterSequenceNumber><StreamName>Factoryville Drain</StreamName><ReleaseStormWaterNAIndicator>1</ReleaseStormWaterNAIndicator>

</WaterStream></OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>WATER</EnvironmentalMediumCode><OnsiteWasteQuantity>

<WasteQuantityMeasure>120</WasteQuantityMeasure><QuantityBasisEstimationCode>M</QuantityBasisEstimationCode>

</OnsiteWasteQuantity><WaterStream>

<WaterSequenceNumber>2</WaterSequenceNumber><StreamName>Blue River</StreamName><ReleaseStormWaterNAIndicator>1</ReleaseStormWaterNAIndicator>

</WaterStream></OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>UNINJ I</EnvironmentalMediumCode><OnsiteWasteQuantity>



<EnvironmentalMediumCode>UNINJ IIV</EnvironmentalMediumCode><OnsiteWasteQuantity>


</OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>RCRA C</EnvironmentalMediumCode><OnsiteWasteQuantity>


</OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>OTH LANDF</EnvironmentalMediumCode><OnsiteWasteQuantity>

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<EnvironmentalMediumCode>LAND TREA</EnvironmentalMediumCode><OnsiteWasteQuantity>


</OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>SI 5.5.3A</EnvironmentalMediumCode><OnsiteWasteQuantity>


</OnsiteReleaseQuantity><OnsiteReleaseQuantity>

<EnvironmentalMediumCode>SI 5.5.3B</EnvironmentalMediumCode><OnsiteWasteQuantity>



<EnvironmentalMediumCode>OTH DISP</EnvironmentalMediumCode><OnsiteWasteQuantity>


</OnsiteReleaseQuantity>


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TransferLocation Module

Figure 10: TransferLocation Data Block

The TransferLocation module contains data from TRI Form R Part II, Section 6. Specifically, thismodule contains data about the off-site locations where waste was shipped or sent and the quantitiesof materials sent to each.

When the POTWIndicator is true, this indicates that a given location is a wastewater treatmentplant. Wastewater treatment plants are listed in section 6.1.B. Non-POTW locations are listed insection 6.2.


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Please note that POTW facilities should NOT have an associated TransferQuantity record, sincethe TRI Form R does not ask for quantities of waste sent to individual POTWs. Rather, elements inthe Report data block should be used, specifically POTWWasteQuantity since these values occuronly once in a given Form R report.


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WasteTreatmentDetails Module

Figure 11: WasteTreatmentDetails Data Block

The WasteTreatmentDetails module corresponds to TRI Form R Part II, Section 7A.

WasteStreamTypeCode values are limited to the following codes: A, W, L and SInfluentConcentrationRange values are limited to the following codes: 1,2,3,4 and 5WasteTreatmentMethodCode values are not constrained by the schema, however valid codesshould be from the lists provided in the EPA TRI reporting forms and instructions document.

NOTE: All “code lists” for enumerated schema data types are listed on the second sheet of the TRIData Exchange Template (DET) spreadsheet.


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OnsiteRecoveryProcess Module

Figure 12: OnsiteRecoveryProcess Data Block

The OnsiteRecoveryProcess maps to TRI Form R Part II, Section 7B. TheEnergyRecoveryMethodCode should contain values from the EPA codes listed in the TRI Form Rreporting instructions. The schema limits valid values to U01, U02 and U03.



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OnsiteRecyclingProcess Module

Figure 13: OnsiteRecyclingProcess Data Block

The OnsiteRecyclingProcess maps to TRI Form R Part II, Section 7C.

OnsiteRecyclingMethodCode values are constrained by the schema to only codes which are validaccording to the EPA TRI reporting forms and instructions.



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SourceReductionQuantity Module

Figure 14: SourceReductionQuantity Data Block

The SourceReductionQuantity module maps for TRI Form R Part II Section 8 (8.1-8.9).

(Content Omitted for Brevity)


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This portion of the schema contains an element for each row in section 8.1-8.7. The final two choicecompositors contain the data for Section 8.8 and 8.9. Section 8.10 data is captured in theSourceReductionActivity module.

Each element can be iterated up to four times, allowing for columns A,B,C, and D on the reportingform to be expressed as XML. In the image above, only the first element(OnsiteUICDisposalQuantity) is expanded, however each element contains this same structure.

The YearOffsetMeasure element indicates the column to which the data maps. The following tabledescribes the usage:

YearOffsetMeasure value Form R Section 8 Column-1 A (Prior Year)0 B (Current Year)1 C (Following Year)2 D (Second Following Year)


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SourceReductionActivity Module

Figure 15: SourceReductionActivity Module

The SourceReductionActivity module maps to Form R Section 8.10.1-8.10.4.

SourceReductionMethodCode values are constrained by the schema such that only valid codesfrom the EPA TRI reporting forms and instructions are allowed.


toxic release inventory xml schema user’s guide · 9/9/2005 · windsor solutions, inc. tri xml...

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