Implementation Guidelines for SDWARS/UCMR 

Volume IV: XML Format

EP001S4

EPA 816-R-01-022C

December 2001

iii

Contents

Chapter 1 Introduction ................................................................................1-1

INTENDED USERS OF GUIDELINE.......................................................................................1-1

ORGANIZATION OF THE GUIDE..........................................................................................1-1

RESPONSIBLE ENTITY .......................................................................................................1-2

HOW TO USE THIS VOLUME..............................................................................................1-3

HOW TO GET MORE INFORMATION...................................................................................1-4

Chapter 2 Business Issues ...........................................................................2-1

THE XML DOCUMENT......................................................................................................2-1

File-Naming Convention ...........................................................................................2-1

Timing of Transactions ..............................................................................................2-2

Maintaining This Implementation Guideline .............................................................2-2

DOCUMENT STRUCTURE ...................................................................................................2-2

Document Type Definition ........................................................................................2-2

UCMR File Structure .................................................................................................2-2

Maintaining the DTD Version or Release .................................................................2-5

Chapter 3 Legal and Security Considerations ...............................................3-1

AUTHENTIC SUBMISSIONS.................................................................................................3-1

ELECTRONIC REPORTING ..................................................................................................3-1

CDX Registration.......................................................................................................3-1

XML Submission.......................................................................................................3-1

Approving Submissions .............................................................................................3-2

ELECTRONIC RECORD KEEPING ........................................................................................3-2

Backup and Recovery Procedures..............................................................................3-2

Audit Considerations .................................................................................................3-2

Procedure Documentation..........................................................................................3-3
iv

Chapter 4 Environments..............................................................................4-1

COMMUNICATIONS............................................................................................................4-1

SOFTWARE REQUIREMENTS ..............................................................................................4-3

UCMR XML DATA FLOW ...............................................................................................4-3

Chapter 5 Error Corrections and Resubmissions...........................................5-1

CORRECTING ERRORS .......................................................................................................5-1

RESUBMITTING DATA .......................................................................................................5-7

CHECKING THE RANGE OF DATA VALUES.........................................................................5-8

UCMR Data Range Checks .......................................................................................5-8

SDWARS/UCMR Data Range Checks.....................................................................5-8

Appendix A UCMR XML Document Type Definition, Version 2.1

Appendix B UCMR File Structure Tree Diagram

Appendix C UCMR Data Dictionary: XML DTD, Version 2.1

Appendix D Example of a UCMR XML Instance

Appendix E Abbreviations

FIGURES

Figure 4-1. CDX Account Web Page ....................................................................................4-1

Figure 4-2. File Upload..........................................................................................................4-2

Figure 4-3. File Submission Confirmation ............................................................................4-2

Figure 4-4. CDX Inbox with Successful Upload Message ....................................................4-3

Figure 4-5. UCMR XML Process..........................................................................................4-4

Figure 5-1. CDX Inbox with Error Notification....................................................................5-1

Figure 5-2. Error Message from Parser..................................................................................5-2

Figure 5-3. Text File with Details of Errors..........................................................................5-4
Contents

v

TABLES

Table 2-1. UCMR PWSS Structure .......................................................................................2-3

Table 2-2. Conditions Applicable to Elements......................................................................2-4

Table 5-1. Authentication Error Messages ............................................................................5-2

Table 5-2. Common Formatting Data/Verification Error Messages.....................................5-5

Table 5-3. UCMR Validation Errors.....................................................................................5-7

Table 5-4. Range Checks Performed by SDWARS...............................................................5-9
vi
 1-1 

Chapter 1 

Introduction 

This volume documents the specifications for submitting data for the Unregulated 

Contaminant Monitoring Rule (UCMR) program to the U.S. Environmental 

Protection Agency (EPA) using Extensible Markup Language (XML) standards. 

Only laboratories that are registered with EPA’s Central Data Exchange (CDX) 

can submit data to the Safe Drinking Water Accession and Review System/UCMR 

(SDWARS/UCMR), the information system that supports the collection of data 

for the UCMR. 

Preliminary analytical data are entered by laboratories on behalf of the Public 

Water Systems (PWSs) participating under the rule. The PWS can then review 

their data online. Data approved by the PWS are then available for state and EPA 

review before being transmitted to the National Contaminant Occurrence 

Database (NCOD). To learn more about CDX and how to register, see Volume I, 

or contact the CDX Technical Support by phone (1-888-890-1995) or by e-mail 

at <EPACDX@lmi.org> with “UCMR” in the subject line. 

INTENDED USERS OF GUIDELINE

This implementation guideline (IG) describes the requirements and procedures 

necessary for UCMR participants to transmit XML through the EPA’s CDX to the 

SDWARS. The scope of this IG is solely to transmit monitoring data from 

laboratories for PWSs to EPA’s SDWARS/UCMR through the CDX. 

ORGANIZATION OF THE GUIDE

This IG is the fourth volume of a 5-volume set. This volume gives details about 

the formatting requirements for XML to be used with the EPA-provided 

document type definition (DTD) to create a well-formed, valid XML document. 

The other volumes are listed below: 

◆ IG Volume I—introduces the CDX and electronic reporting and options 

for submitting data for UCMR. 

◆ IG Volume II—describes completing and submitting web forms in detail. 

◆ IG Volume III—contains details about Electronic Data Interchange (EDI) 

in case EPA decides to exchange monitoring data using EDI (not 

applicable to UCMR). 
 

 1-2 

◆ IG Volume V—documents in detail the formatting requirements for a 

delimited flat file. 

RESPONSIBLE ENTITY

These guidelines are published under the authority of 

Office of Environmental Information 

Information Collection Division 

Central Receiving Branch 

1200 Pennsylvania Ave, NW, Mail Stop 2823 

Washington, DC 20460 

The Office of Environmental Information (OEI) helps ensure EPA collects highquality environmental information and makes it available to the public. OEI 

provides guidance to assist EPA in the collection, management, analysis and 

dissemination of environmental information. 

Within OEI, the Office of Information Collection (OIC) is the agency lead for 

information collection programs, including how EPA obtains and manages 

information. The OIC works closely with many partners, stakeholders, facilities, 

other federal agencies and states. CDX, which is managed by OIC, is the EPA’s 

new infrastructure for supporting the exchange of environmental data between 

EPA and its external partners. 

Over the next several years, CDX will expand to become the point of entry for 

nearly all environmental data submissions to the agency. It will also improve 

collection, management, and sharing of environmental information among states, 

tribes, and EPA so they can achieve their respective and shared environmental 

goals. 

The CDX Technical Support staff will answer questions about XML for data 

monitoring or compliance reporting. 

Support for electronic reporting is available via e-mail, fax, or telephone. 

◆ By telephone. Person-to-person telephone support is available between 

8:00 a.m. and 6:00 p.m. (EST/EDT) on our toll-free line at 

1-888-890-1995. 
Introduction 

 1-3 

◆ By fax. You may request assistance 24 hours a day; support personnel will 

return calls between 8:00 a.m. and 6:00 p.m. (EST/EDT). Our fax number 

is 703-917-7105. 

◆ By e-mail. Send e-mail to <EPACDX@lmi.org> with “UCMR” in the 

subject line. Responses will be sent between 8:00 a.m. and 6:00 p.m. 

(EST/EDT). 

HOW TO USE THIS VOLUME

This guideline should be used to supplement your knowledge of XML and 

document type definitions (DTDs). This guideline presents EPA’s environmental 

monitoring data system and describes tools for implementing it. 

You can find general information about the CDX and electronic reporting in 

Volume I. The remainder of this volume is structured as follows: 

◆ Chapter 2—Business Issues. This chapter discusses business issues of 

standards and maintenance. 

◆ Chapter 3—Legal and Security Considerations. This chapter discusses 

legal and security considerations. 

◆ Chapter 4—Environments. This chapter explains the communications and 

software requirements for submitting data to CDX. 

◆ Chapter 5—Error Corrections and Resubmissions. This chapter explains 

correcting errors and resubmitting data. 

◆ Appendix A—UCMR XML DTD, Version 2.1. This appendix lists the 

UCMR DTD. 

◆ Appendix B—UCMR File Structure Tree Diagram. This appendix 

provides a graphical presentation of the UCMR file structure. 

◆ Appendix C—UCMR Data Dictionary: XML DTD, Version 2.1. This 

appendix is a data dictionary. 

◆ Appendix D—UCMR XML Instance. This appendix provides an example 

XML file based on the UCMR XML DTD, Version 2.1. 

◆ Appendix E—Abbreviations. 
 

 1-4 

HOW TO GET MORE INFORMATION

EPA has websites that you may find useful in submitting a UCMR electronically: 

◆ The CDX website is at <http://EPACDX.lmi.org>. Only registered users 

can access this site. To gain access, register by using the process described 

in Volume I. 

◆ General public information about the EPA CDX is at 

<http://www.epa.gov/cdx>. 

◆ The Office of Ground Water and Drinking Water (OGWDW) maintains a 

web page about UCMR at <http://www.epa.gov/safewater/ucmr.html>. 
2-1

Chapter 2 

Business Issues

This section describes when data may be submitted and the basis for using XML 

specifications. It also introduces the structure of the submission format which is 

further defined in Appendixes A through C.

THE XML DOCUMENT

This IG is not an XML tutorial, and it is assumed that you are reasonably 

knowledgeable about XML operations. If you want to learn more about XML, a 

number of commercial and nonprofit sources are available. A place to start would 

be the World Wide Web Consortium (W3C). The W3C develops specifications, 

guidelines, software, and tools that lead to recommendations that are widely 

adopted as the standard for web developers and users. XML 1.0 Re commendation

(published in February 1998) is the recommendation employed for defining the 

UCMR XML DTD. For more information about current W3C recommendations, 

visit their website at <http://www.w3.org>.

Only laboratories will submit electronic files to the SDWARS/UCMR database. 

Files will contain data about batches (analytical or extraction) and sample results. 

After you submit a file, the CDX will return a message to your “MyCDX” inbox 

that the file has been successfully processed, or that errors have been detected and 

the file has been rejected. A copy of the message will also be sent to your e-mail 

address you registered with CDX. You should correct rejected files and resubmit 

with a different file name (Chapter 5 discusses error correction and 

resubmissions). Depending on specific codes placed in the file and the results of 

SDWARS/UCMR range check validations (see Chapter 5 for details of data range 

checks), you may need to log into SDWARS/UCMR and further process the data 

through web forms (see Volume II for more on web form processing).

File-Naming Convention

The file name must be unique from all other files submitted through CDX. The 

file name must follow the format: “UCM + (Laboratory ID) + (unique 

alphanumeric identifier assigned by your laboratory).xml” (The alphanumeric 

identifier may be an incremental counter, such as “UCMIL00028001.xml.”). The 

length must not exceed 40 characters and may include an underscore “_”, but not 

spaces or symbols (e.g., $, @, &, %).

Your laboratory ID begins with the two-letter postal code for your state followed 

by a five-digit numeric code assigned by the EPA during a past performance 
2-2

evaluation (PE) study (e.g., FL12345). If you do not know your lab ID, please 

contact the Safe Drinking Water Hotline (see Chapter 1).

Timing of Transactions

The CDX system operates 24 hours a day, 365 days a year. See the CDX website 

for any specific changes in operating hours. Each file submitted will result in a 

processing confirmation record being placed in the your “MyCDX” inbox, as well 

as your e-mail address registered in your CDX account. You are encouraged to 

check your “MyCDX” inbox regularly, as well as follow the detailed instructions 

for verifying submissions in Volume II.

Submissions typically will be uploaded to SDWARS/UCMR within 30 minutes 

after they are received, but may take longer. In order to ease demands on system 

resources from peak periods (7:00 a.m.–10:00 p.m. EST), CDX has a file filter 

that sets aside relatively larger files (above 200 KB) for overnight processing. If 

after your file is uploaded to CDX the filter determines that the file exceeds the 

daytime processing maximum, CDX will send you a message to your “MyCDX” 

inbox indicating the file will be processed overnight.

Maintaining This Implementation Guideline

EPA will be responsible for maintaining, updating, and distributing the IG as 

needed. EPA will work with all CDX stakeholders to maintain a XML 

architecture that balances accommodating the bulk of users with incorporating 

new techniques and technologies. Submitters will be responsible for ensuring that 

their process remains consistent with this guideline. If a system is modernized, 

data formats and processes must remain consistent with what is defined in this IG 

and the UCMR program. EPA will coordinate changes with UCMR stakeholders 

before revising this IG and its content.

DOCUMENT STRUCTURE

Document Type Definition

The UCMR XML implementation uses a DTD developed specifically for submitting 

monitoring data. The DTD describes the format and the data elements required for 

submitting valid, well-formed monitoring data in XML to SDWARS/UCMR. The

DTD is in Appendix A; a tree diagram of the hierarchical file structure is in 

Appendix B; and a data dictionary is in Appendix C.

UCMR File Structure

This section describes the logical structure of the UCMR submissions and the 

details of using the data for implementing electronic reporting. In addition, this 

section describes the business use, and explains the elements for mapping to 
Business Issues

2-3

and from other application systems. A full explanation of the elements is in 

Appendix C.

The format of the UCMR hierarchical file structure is defined in Table 2-1. The 

requirement column indicates if the element is required or optional and the 

occurrence column indicates how many times an element may occur.

For example, 0-n means that the element can occur zero or more times (with no 

maximum upper limit) or that it is optional. An occurrence of 0-1 means the 

element may occur once or not at all for each occurrence of the parent element. A 

value of 1 means that the element must occur once for every occurrence of a 

parent element. An occurrence value of 1-n means the element must occur at least 

once for each occurrence of a parent element, but may occur more times. The 

condition column indicates any conditions that apply to the element.

Table 2-1. UCMR PWSS Structure

UCMR file structure Requirement Occurrence Condition

UCMR_PWSS Required 1

Header_Data Required 1

Base_Header_Data Required 1

CDX_Identification Required 1

Schema_Version Required 1

Environment Required 1

Report_Type Required 1

Customer_Header_Data Required 1

Transaction Required 1

Transaction_Purpose Required 1

Transaction_Date Required 1

Transaction_Time Required 1

Detail Required 1

Lab_Id Required 1

Batch Optional 0-n

Batch_Id Required 1

Extraction_Analysis_Date Required 1

Analytical_Method Required 1

Analyte Required 1-n

Analyte_Code Required 1 C1

Spiking_Concentration Required 1

Analytical_Precision Required 1

Analytical_Accuracy Required 1
2-4

Table 2-1. UCMR PWSS Structure (Continued)

UCMR file structure Requirement Occurrence Condition

PWS Optional 0-n

PWS_Id Required 1

Facility Required 1-n

Facility_Id Required 1 C2

Facility_Sample_Point Required 1-n

Sample_Point_Id Required 1 C3

Sample_Point_Sample Required 1

Sample_Id Required 1

Sample_Collection_Date Required 1

Analysis_Type Required 1

Lab_Sample_Comment Optional 0-1

Analysis Required 1-n

Analyte_Code Required 1

Batch_Id Required 1 C4

Analytical_Method Required 1 C4

Analysis_Result Required 1

Value Optional 0-1 C5

Result_Sign Required 1 C5

Presence Optional 0-1 C6

Anaylsis_Status Optional 0-1

Reviewer_Status Required 1

Lab_Result_Comment Optional 0-1

Table 2-2 defines the codes in the Condition column of Table 2-1.

Table 2-2. Conditions Applicable to Elements

Code Description

C1 Analyte_Code must represent an analyte that can be tested for by the preceding 

Analytical_Method.

C2 Facility_Id must represent a facility that is recorded in SDWARS/UCMR as being 

associated with the preceding PWS_Id.

C3 Sample_Point_Id must represent a sampling point that is recorded in 

SDWARS/UCMR as being associated with the preceding Facility_Id.

C4 As part of the analysis tag, the Batch_Id and Method_Id must relate to data in a 

preceding batch or that are already entered in SDWARS/UCMR.

C5 If value is null, then Result_Sign must be “lt.” If value is not null, the Result_Sign 

must be “eq.”

C6 Presence is not utilized at this time for UCMR reporting of List 1 analytes.
Business Issues

2-5

Maintaining the DTD Version or Release

The DTD in Appendix A is for a particular version of the XML standard. EPA 

will continue to operate in that version until business requirements indicate that 

the DTD needs to be revised and updated to a newer DTD or schema version. At a 

minimum, EPA will coordinate the changes through OGWDW. Updates are 

posted on the EPA CDX website under “What’s New.”

Submitters must use XML software that is fully compliant with the W3C 

recommendations for the version noted in the DTD, and that can support creating 

an XML document that is valid and well-formed.
2-6
3-1

Chapter 3 

Legal and Security Considerations

Electronic reporting of UCMR data reduces the burden of reporting, collecting data, 

and record keeping for both reporting facilities and responsible environmental 

agencies by eliminating the labor, time, and other costs of submitting paper reports. 

Electronic reporting does not lessen or alter any of the responsibilities or liabilities 

under good business practices.

AUTHENTIC SUBMISSIONS

Drinking water regulations do not require you to electronically sign data 

submitted to SDWARS/UCMR. However, your laboratory should consider the 

submissions as your official copy of record.

UCMR business rules require laboratories to mark each sample “approved” before 

the responsible PWS can review it. In turn, each PWS must mark a sample 

“approved” before a state or EPA entity can review it, or before it can be moved 

onto other EPA data systems.

You can mark uploaded files as “approved.” If successfully uploaded, these files 

will move directly to the PWS review process. If rejected, you must correct and 

resubmit them. However, there are also certain data range checks that the system 

will review. If data fall outside of the range limits, SDWARS/UCMR will alter 

the status from “lab approved” to “lab hold” (see Chapter 5 for details of data 

range checks). For such records, you must use the web form to manually approve 

the records.

ELECTRONIC REPORTING

CDX Registration

You must be registered with CDX before submitting an XML document. Refer to 

Volume I of these IGs to review the registration process.

XML Submission

The XML submission itself does not have to be authenticated. However, EPA 

expects you to maintain proper safeguards and security over the computer systems 

that will generate the XML document. At a minimum, an authorized official must 

use a secure means to release the UCMR XML document. The security can 
3-2

include using password- or token-based entry into the system to release the 

completed monitoring data so the XML can be generated.

Approving Submissions

If you are recognized by CDX as having the Approver role for your lab, you 

may access the website and approve your lab’s data. To have the Approver 

role you must select that role in CDX and be confirmed through your lab’s 

sponsor letter. After the data are approved by the lab and PWS, they are 

considered to be the official data for SDWARS/UCMR. See Volume I of these 

IGs for more information about registering.

ELECTRONIC RECORD KEEPING

Regardless of how the facility keeps records, your monitoring application system 

and its XML system should at least adhere to procedures described below.

Backup and Recovery Procedures

The systems should back up all data and programs at least daily. Backup media 

should be stored off the site. XML systems should maintain archives of all 

transmissions, sent and received, which should be readily accessible for at least 

30 days to ensure that they can be retransmitted if requested by EPA or other 

regulatory agencies. You should maintain logs of all transmitted data and verify 

that EPA received the transmission.

Alternative plans should be developed to accommodate unforeseen problems, 

such as loss of a data center or local phone system, or a catastrophic act of nature 

that prevents exchanging transmissions for an extended period. Alternatives 

include using remote backup systems temporarily or using different third-party 

service providers.

Audit Considerations

You should maintain an adequate audit trail to ensure that they can substantiate, 

when needed, information exchanged electronically. In an information systems 

environment, an audit trail typically focuses on the transactions in the system—

the data processed, input/output devices accessed, and the date and time that 

activities occurred. Documents in paper form usually are available to validate 

information input or output from information systems. However, in an electronic 

environment, paper versions of data do not exist. Therefore, an audit mechanism 

for the XML environment should be more comprehensive to substantiate that the 

information was transmitted and received electronically. An XML audit trail is a 

full set of records (maintained in either electronic or paper format) documenting 

the data received, sent, retained, and stored. This set of records should accurately 

reflect the events as they occurred.
Legal and Security Considerations

3-3

Procedure Documentation

You should maintain current and detailed documentation of your backup and 

disaster and recovery procedures. Also, you should document record-keeping 

procedures (either on paper or electronically).
3-4
4-1

Chapter 4 

Environments

This chapter summarizes the XML data flow between you and the CDX. The 

chapter begins with a discussion of the communications path between the your 

computer and CDX.

COMMUNICATIONS

Once a file is generated, it can be uploaded through the CDX website. Once you 

have established an account with CDX and your sponsor letter is processed at CDX, 

you will have access to the UCMR: File Upload link in the “Available Account 

Profiles” at the bottom of the “MyCDX” account web page (see Figure 4-1).

Figure 4-1. CDX Account Web Page

The UCMR: File Upload link will take you to the UCMR file upload web page 

(see Figure 4-2). On the UCMR File Upload screen you may enter the directory 

location of the flat file or click on the Browse button to locate the file. Once the 

file has been located, you may click on the Send File button.
4-2

Figure 4-2. File Upload

You will receive an acknowledgement that CDX received the file on the screen 

(see Figure 4-3) and in your “MyCDX” inbox, and to your registered e-mail 

address. If you encounter problems with uploading the file, contact CDX 

Technical Support.

Figure 4-3. File Submission Confirmation

Depending on file size and system activity it may take a few minutes for CDX to 

upload your file. Once uploaded, CDX will send you an upload confirmation 

message or an error notification to your “MyCDX” inbox (see Figure 4-4). A 

copy of the error notification will be sent to your registered e-mail address as 

well. Error messages are discussed in Chapter 5. If you receive a successful 

upload confirmation message (Figure 4-4), your data has been loaded to CDX 

and has been queued for processing into SDWARS/UCMR.
Environments

4-3

Figure 4-4. CDX Inbox with Successful Upload Message

SOFTWARE REQUIREMENTS

You may implement XML parsing and validating according to your Laboratory 

Information Management System (LIMS) or other information system architecture. The XML products that are used should be compliant with the W3C 

recommendation for XML, the version noted in the DTD, and be capable of 

validating the XML document against the DTD. Information about W3C 

recommendations is available at <http://www.w3.org>.

UCMR XML DATA FLOW

The first step to creating an XML document is to prepare the extraction of the 

data from the LIMS. Some data transformation software may require you to 

extract a delimited flat file from the LIMS and parse (map) the flat file elements 

to the elements of the DTD. Other XML products have capabilities to 

communicate directly with databases and can parse to the DTD straight from the 

database tables. Your provider of XML software and LIMS should be consulted 

about the capabilities of the software. Another consideration is the ability of the 

software to validate XML documents. Validation ensures the XML document 

conforms to the specifications for XML and DTD.

When an architecture for extracting the data has been determined, the data must 

be parsed into an XML document according to the UCMR DTD (in Appendix A). 

EPA will maintain the most recent UCMR DTD on the CDX website. The lab 

should validate the resultant XML document with the structure of the DTD to 

ensure it is valid and well-formed.
4-4

The validated XML document is uploaded to CDX as described above. CDX will 

poll the file submission directory on the CDX server and send XML files to the 

CDX parser for validation and inputting into SDWARS/UCMR. Figure 4-5 

represents the processing of a UCMR XML submission.

If errors prevent the processing of the submission, CDX will send an error 

message to your “MyCDX” inbox and registered e-mail address (Figure 4-4). 

After making the corrections, the data can be resubmitted (refer to Chapter 5). 

You can call the CDX Technical Support for additional help.

Once the data are loaded into SDWARS/UCMR, you will be able to enter 

SDWARS/UCMR via your CDX account to view the data (see IG Volume II for a 

discussion of web access). If you applied an “approval” status in the 

Reviewer_Status element of the XML document, you will only be able to view 

the data online through the search function. If you applied a “hold” in the 

Reviewer_Status element or don’t provide any status in the XML document, you 

will be able to view the data online and make edits. A PWS cannot review your 

laboratory data in SDWARS/UCMR until someone from your laboratory has 

approved the submitted data.

Figure 4-5. UCMR XML Process

Lab LIMS

Lab File

Conversion

Internet

(SSL)

System

Dependant

Format

XML

(UCMR)

CDX Server

SDWARS/UCMR Yes

 CDX Inbox

File Name and

Authorized

Sender?

Data Validation

Successful File

Upload Message

No: Error Message

XML

(UCMR)

Receipt

 Acknowledgement

User logs in to verify data, change

status, and override range checks.

No: Error Message
 5-1 

Chapter 5 

Error Corrections and Resubmissions 

CORRECTING ERRORS

If a submission contains errors that prevent it from being parsed into 

SDWARS/UCMR, CDX will notify you of the error by sending a notification to 

your “MyCDX” inbox (see Figure 5-1) and your registered e-mail address. 

Figure 5-1. CDX Inbox with Error Notification 

Data checks occur at two stages during the file upload process—authentication 

and data validation. Authentication occurs as soon as CDX receives the file. CDX 

authenticates your account and the file name. These messages are sent to your 

“MyCDX” inbox and your e-mail address registered with CDX. Table 5-1 shows 

the error messages you could receive. 
 

 5-2 

Table 5-1. Authentication Error Messages

Error message 

Archive1 fail. File name larger than 75 characters. 

File: gggggggggggggggg was not accepted. The user ID yyyyyyy is not authorized to 

submit for lab id: xxxxxxxxxxxxxx. For questions, contact CDX technical support at 

1-888-890-1995. 

The file submitted for UCMR Lab ID xxxxxxxxxxxxxxxxxxx has some problems. Please 

access your “MyCDX” inbox for further information. Thank you for your cooperation. 

The data validation function performs checks by the parser and additional checks 

in two parts—format and UCMR validations. There are two different error 

messages for XML—parsing errors and data validation errors. CDX will parse the 

file. If the file is not valid and well-formed, CDX will provide a text file listing 

the parsing errors (see Figure 5-2). This file is sent to your “MyCDX” inbox. 

While a copy of the error notification will be sent to your registered e-mail 

address, you can only view the list of errors through the error notice in your 

“MyCDX” inbox. The parsing error messages are generic messages. If 50 errors 

are found, CDX stops parsing the file and sends the error message, noting that the 

file may contain additional errors. 

Figure 5-2. Error Message from Parser 

	







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Error Corrections and Resubmissions 

 5-3 

If the file is valid and well-formed, CDX will conduct data validation and 

verifications according to UCMR. If the file does not pass the checks, CDX will 

provide an error message to your “MyCDX” inbox. Here too, a copy of the 

notification will e sent to your e-mail address directing you to view the error 

details online. A copy of the error notification is available to the CDX Technical 

Support, in case the submitter has questions about the error report. 

The message (see Figure 5-3) is numbered and provides an explanation, the 

extract of the record that contains the error, and an administrator message. The 

administrator message is applied to assist technical support when typical solutions 

do not work. The technical support staff may request the associated administrator 

message to assist them and the programmers in identifying a solution to an error. 

The text file lists up to the first 50 errors in the submitted file. Message number 

one of Figure 5-3 does not include an administrator message while message 

number two does. 

SDWARS/UCMR verifies the data by first checking general format and verifies 

IDs (i.e., correct format for date, batch ID, valid PWS ID, valid method, valid 

sampling point ID). Table 5-2 lists common error messages for data formatting 

and general validations. These messages identify the probable cause for the error 

and recommended corrective actions. 
 

 5-4 

Figure 5-3. Text File with Details of Errors 

An error occured while processing a file submission to UCMR.

Submission information:

File name: UCMAK00001_06292001113952750-JKELLOG1.txt

Error date: Jun 29, 2001

Error time: 11:52:6 AM

For further assistance, please contact the CDX Technical Support staff at 1 888 890-1995.

1. ERROR MESSAGE EXPLANATION:

 SPK_CONCENTRATION must equal N/A or be greater than 0. For further assistance,

 please contact the CDX Technical Support staff at 1 888 890-1995.

LAB_IDENT_CD: AK00001

BATCH_IDENT_CD: AST2251887

METHOD_CD: ASTM D5790

ANALYTE_CD: 2254

SPK_CONCENTRATION: 0

RESULT_PRECISION: 71

ACCURACY: 19

EXTRACTION_ANALYSIS_DATE: 24-Jan-01

USER_LOGIN_ID: 

LAST_CHANGE: 

2. ERROR MESSAGE EXPLANATION:

The Batch associated with this Sample does not exist. Please add the Batch data or change

 the Batch ID and resubmit your data. See BATCH_ID below. For further assistance,

 please contact the CDX Technical Support staff at 1 888 890-1995.

LAB_IDENT_CD: AK00001

BATCH_IDENT_CD: ASTOUNDING

METHOD_CD: ASTM D5475

SAMPLE_IDENT_CD: AST2052644164

ANALYTE_CD: 2272

ANAL_RESULT_VALUE: 6

ERROR_EXIST: 

LAB_REVIEW: 

LAB_REVIEW_DATE: 

PWS_REVIEW: 

PWS_REVIEW_DATE: 

STATE_REVIEW: 

STATE_REVIEW_DATE: 

EPA_REVIEW: 

EPA_REVIEW_DATE: 

SENT_TO_EPA_DATE: 

PRESENCE_ABSENCE: 

LESS_THAN_MRL: 0

STATE_REGION_ID: 99

PWS_ID: 990000001

FACILITY_ID: 00002

SAMPLING_POINT_ID: 4354

STATUS_CD: 10

USER_LOGIN_ID: 

LAST_CHANGE: 

Administrator Message:

ORA-02291: integrity constraint (UCMR.FK_FIELD_ANALYTES_BATCH_QC) violated - parent key not found
Error Corrections and Resubmissions 

 5-5 

Table 5-2. Common Formatting Data/Verification Error Messages

Error message Administrator message 

The Batch ID and Method combination already exist in 

SDWARS/UCMR. Please change the Batch ID or Method and 

resubmit your data. See BATCH_IDENT_CD and METHOD_CD: 

below. For further assistance, please contact the CDX Technical 

Support staff at 1-888-890-1995. 

ORA-0001 unique constraint 

(UCMR.PK_TableName) violated. 

Your Lab ID is not known. Verify your Lab ID is correct and 

resubmit. See LAB_IDENT_CD below. For further assistance, 

please contact the CDX Technical Support staff at 1-888-890-1995. 

ORA-02291 integrity constraint 

(UCMR.FK_TableName_TableName) 

violated—parent key not found. 

This Method is unknown to SDWARS/UCMR. See METHOD_CD 

below. Verify the method and resubmit your data. For further 

assistance, please contact the CDX Technical Support staff at 

1-888-890-1995. 

UCMR.FK_BATCH_QC_METH0D_ 

ANALYTE_IDS 

The analyte and method combination is unknown to 

SDWARS/UCMR. See ANALYTE_CD and METHOD_CD below. 

Verify the analyte and method, then resubmit your data. For further 

assistance, please contact the CDX Technical Support staff at 

1-888-890-1995. 

UCMR.FK_BATCH_QC_METH0D_ 

ANALYTE_IDS 

The record below shows that this Method is not associated with this 

Analyte in SDWARS/UCMR. Please verify the METHOD_CD and 

ANALYTE_CD are correctly associated. For further assistance, 

please contact the CDX Technical Support staff at 1-888-890-1995 

UCMR.FK_BATCH_QC_METH0D_ 

ANALYTE_IDS 

The Sample ID and PWS ID combination already exists. Please 

change the Sample ID and resubmit your data. See 

SAMPLE_IDENT_CD below. For further assistance, please contact 

the CDX Technical Support staff at 1-888-890-1995. 

ORA-00001 unique constraint 

(UCMR.PK_TableName) violated. 

Your Lab ID could not be found in SDWARS/UCMR. Please verify 

your Lab ID and resubmit your data. See LAB_IDENT_CD below. 

For further assistance, please contact the CDX Technical Support 

staff at 1-888-890-1995. 

ORA-02291 integrity constraint 

(UCMR.FK_TableName_TableName) 

violated—parent key not found. 

The following PWS ID could not be found in SDWARS/UCMR. 

Please verify the PWS ID and resubmit your data. See PWS_ID 

below. For further assistance, please contact the CDX Technical 

Support staff at 1-888-890-1995. 

ORA-02291 integrity constraint 

(UCMR.FK_TableName_TableName) 

violated—parent key not found. FK 

Violation (UCMR.FK.BATCH_QC_ 

METHOD_ANALYTE_IDS) 

The following PWS ID and Facility ID combination could not be 

found in SDWARS/UCMR. Please verify the Facility ID belongs to 

this PWS and resubmit your data. See FACILTY_ID and PWS_ID 

below. If the Facility is correct, please contact the PWS and have 

them update their inventory in SDWARS/UCMR. For further 

assistance, please contact the CDX Technical Support staff at 

1-888-890-1995. 

ORA-02291 integrity constraint 

(UCMR.FK_TableName_TableName) 

violated—parent key not found. K 

Violation (UCMR.FK.SAMPLES_ 

PWS_FACILITY) 

The PWS ID, Facility ID, and Sampling Point ID combination could 

not be found in SDWARS/UCMR. Please validate the Sampling 

Point ID belongs to this Facility and PWS, then resubmit your data. 

See FACILTY_ID, PWS_ID, and SAMPLING_POINT_ID below. If 

the PWS is registered on your client list and the Sampling Point is 

correct, contact the PWS and have them update their inventory in 

SDWARS/UCMR. For further assistance, please contact the CDX 

Technical Support staff at 1-888-890-1995. 

ORA-02291 integrity constraint 

(UCMR.FK_TableName_TableName) 

violated—parent key not found. FK 

Violation (UCMR.FK.SAMPLES_PWS_

FAC_SAMPLING_POINT) 
 

 5-6 

Table 5-2. Common Formatting Data/Verification Error Messages (Continued)

Error message Administrator message 

The Sample Type is invalid. Please change the Sample Type and 

resubmit your data. See SAMPLE_TYPE below. For further 

assistance, please contact the CDX Technical Support staff at 

1-888-890-1995. 

SAMPLES FK Violation 

(UCMR.FK.SAMPLES_VALID_ 

SAMPLE_TYPE) 

The PWS ID, Sample ID, Batch ID, Method ID combination already 

exists for your Lab. Please validate this data or change the file to a 

“Replacement” and resubmit your data. See PWS_ID, SAMPLE_ID, 

BATCH_ID, and METHOD_ID below. For further assistance, please 

contact the CDX Technical Support staff at 1-888-890-1995. 

FIELD ANALYTES PK Violation 

The Batch associated with this Sample does not exist. Please add 

the Batch data or change the Batch ID and resubmit your data. See 

BATCH_ID below. For further assistance, please contact the CDX 

Technical Support staff at 1-888-890-1995. 

FIELD ANALYTES FK Violation 

(UCMR.FK.FIELD_ANALYTES_ 

BATCH_QC) 

Your Lab ID could not be found in SDWARS/UCMR. Please verify 

your Lab ID and resubmit your data. See LAB_ID below. For further 

assistance, please contact the CDX Technical Support staff at 

1-888-890-1995. 

FIELD ANALYTES FK Violation 

(UCMR.FK. FIELD_ANALYTES_LABS) 

The PWS ID could not be found in SDWARS/UCMR. Please 

validate the PWS ID and resubmit your data. See PWS_ID below. 

For further assistance, please contact the CDX Technical Support 

staff at 1-888-890-1995. 

FIELD ANALYTES FK Violation 

(UCMR.FK. FIELD_ANALYTES_PWS) 

The PWS ID and Facility ID combination could not be found in 

SDWARS/UCMR. Please verify the Facility belongs to this PWS 

and resubmit your data and that the PWS is registered on your 

client list. See PWS_ID and FACILTIY_ID below. If the Facility is 

correct please contact the PWS and have them update their 

inventory in SDWARS/UCMR. For further assistance, please 

contact the CDX Technical Support staff at 1-888-890-1995. 

FIELD ANALYTES FK Violation 

(UCMR.FK. FIELD_ANALYTES_ 

PWS_FACILITY) 

The following PWS ID, Facility ID, and Sampling Point ID 

combination could not be found in SDWARS/UCMR. Please verify 

the Sampling Point belongs to this Facility in the PWS and resubmit 

your data. See PWS_ID, FACILTY_ID, and SAMPLING_POINT_ID 

below. If the PWS is registered on your client list and the Sampling 

Point is correct please, contact the PWS and have them update 

their inventory in SDWARS/UCMR. For further assistance, please 

contact the CDX Technical Support staff at 1-888-890-1995. 

FIELD ANALYTES FK Violation 

(UCMR.FK. FIELD_ANALYTES _ 

PWS_FAC_SAMPLING_POINT) 

Application terminated. No data was processed. Document must 

contain an Environment field and field value must be T or P. For 

further assistance, please contact the CDX Technical Support staff 

at 1-888-890-1995. 

Application terminated. No data was processed. Document must 

contain Header data and Batch QC or Sample and Result data 

Application terminated. No data was processed. Document must 

contain a Report Type field and field value must be UCMR to 

identify transaction as a UCMR report. 

Application terminated. No data was processed. Document must 

contain a Transaction Purpose field and field value must be o or r. 
Error Corrections and Resubmissions 

 5-7 

The final validations that CDX conducts are UCMR data validations. 

Table 5-3 lists common error messages for UCMR data validations. 

Table 5-3. UCMR Validation Errors

Error message 

Administrator 

message 

RESULT_PRECISION,ACCURACY,SPK_CONCENTRATION must equal N/A ORA-20100 

RESULT_PRECISION must equal N/A or be greater than or equal to 0 ORA-20101 

New.ACCURACY||’:ACCURACY must equal N/A or be greater than or equal to 0 ORA-20102 

SPK_CONCENTRATION must equal N/A or be greater than 0 ORA-20103 

EXTRACTION_ANALYSIS_DATE must be between January 1, 1985 and sysdate ORA-20104 

SPIKE CONCENTRATION may not equal MISSING ORA-20105 

ACCURACY may not equal MISSING ORA-20106 

RESULT_PRECISION must be a number or N/A ORA-20107 

ACCURACY must be a number or N/A ORA-20108 

SPK_CONCENTRATION must be a number or N/A ORA-20109 

The Collection Date DD-MON-YYYY must be before the Extraction Analysis Date 

DD-MON-YYYY 

ORA-20200 

For Method ‘||:new.method_cd||’, the analytical result value must be less than MRL ORA-20201 

ANAL_RESULT_VALUE is not null, so LESS_THAN_MRL must be null or zero ORA-20202 

ANAL_RESULT_VALUE must equal to N/A or be greater than or equal to an MRL 

of MRL 

ORA-20203 

LESS_THAN_MRL is N/A, so ANAL_RESULT_VALUES must be null ORA-20204 

Either LESS_THAN_MRL or ANAL_RESULT_VALUES must be not null in order 

to be approved 

ORA-20205 

Your STATUS CODE is status_cd and STATUS CODE must be 10 or 50 in order 

to change the ANAL_RESULT_VALUE 

ORA-20206 

Your STATUS CODE is status_cd and STATUS CODE must be 10 or 50 in order 

to change the LESS_THAN_MRL 

ORA-20207 

ANAL RESULT VALUES must be a number or N/A ORA-20208 

RESUBMITTING DATA

A file containing only original data or including original and replacement data can 

be submitted. The analyte results data may be replaced only if the existing results 

have not been approved. When resubmitting replacement data, you must use the 

code “r” in the transaction_purpose element. The “r” indicates the transaction 

contains records that will replace existing records. The laboratory cannot 

resubmit a file that has the same name as a previous submission. You must 

rename the file before resubmitting it. The resubmission will overwrite the 
 

 5-8 

existing data in the SDWARS/UCMR database. You may confirm that the data 

was overwritten by viewing the records in the SDWARS/UCMR web application. 

Users from your laboratory are the only users that may edit your sampling and 

analytical data. You can only edit data that is in “lab hold” status in the 

SDWARS/UCMR database. If you need to edit data that it has already been 

approved, you can contact the PWS to return the control of the record back to 

your lab for corrections. If the record was also approved by the PWS, then the 

PWS must request that the SDWARS/UCMR database administrator return 

editing rights to your laboratory. The SDWARS/UCMR database administrator 

can be contacted through CDX Technical Support. 

CHECKING THE RANGE OF DATA VALUES

In addition to the edit validations described in the preceding sections, 

SDWARS/UCMR reviews several fields for specific values or ranges. In some 

cases it may entirely reject the record for failing the range check, while in others it 

may create a warning that requires the laboratory to manually review and either 

approve or modify the results. This section describes each of these fields. 

UCMR Data Range Checks 

The UCMR has specific ranges of values for different analytes and methods. 

Information about MRL values is in the following regulations: 

◆ 40 CFR, parts 9, 141, and 142, “Revisions to the Unregulated 

Contaminant Monitoring Regulation for Public Water Systems;” final 

rule, September 17, 1999 

◆ 40 CFR, part 141, “Unregulated Contaminant Monitoring Regulation for 

Public Water Systems: Analytical Methods for Perchlorate and 

Acetochlor;” “Announcement of Laboratory Approval and Performance 

Testing (PT) Program for the Analysis of Perchlorate;” final rule and 

proposed rule, March 2, 2000 

◆ 40 CFR, part 141, “Unregulated Contaminant Monitoring Regulation for 

Public Water Systems: Analytical Methods for List 2 Contaminants and 

Clarifications;” final rule, January 11, 2001. 

SDWARS/UCMR Data Range Checks 

SDWARS/UCMR will check the range of some data values. Table 5-4 shows the 

list of elements that SDWARS/UCMR checks. SDWARS/UCMR assigns a range 

or value that the element must satisfy, and the range or value it should satisfy. The 

“must” checks will prevent the data from loading and will result in an error 

notification to your “MyCDX” inbox and registered e-mail address. However, the 
Error Corrections and Resubmissions 

 5-9 

“should” checks will not result in preventing the data from loading. Instead, the 

“should” checks will flag results as having potential errors for your laboratory to 

confirm. If data are submitted that violate the “should” criteria, then the 

status of those records will be “lab hold” and you must use the web forms to 

override the range check (or correct the value through web forms or a 

replacement file). You cannot approve data where a range check notification has 

not been addressed. Thus, the data cannot be sent to the PWS to approve and will 

remain in the “lab hold” status. 

You have two options to edit a range check. In order to override the warning 

message and approve the data, you must use the web forms. If, in reviewing the 

data, you believe the data should be corrected, you may do so either by using the 

web form or by correcting the data in your system and issuing a replacement 

transaction. 

Table 5-4. Range Checks Performed by SDWARS 

Criteria 

Element Must be Should be 

Accuracy > 0 or N/A 

< 32000 

< 200% 

> 10% 

Collection date Not later than the current date 

Not earlier than 1/1/85 

Extraction/analysis date Not later than the current date 

Not earlier than the collection 

date 

Not earlier than 1/1/85 

< 60 days from the sample 

collection date 

Precision > 0, “MISSING”a, or N/A 

< 32000 

< 99% 

Result (value)b > MRL or N/A 

< 32000 

< 10 x MRL 

Spiking concentration > 0 or N/A 

< 32000 

< 200 

Note: N/A indicates “not analyzed.” If an analyte is not analyzed for a batch, then precision, accuracy and 

spiking concentration must be “N/A”. If an analyte is not analyzed for the sample then the result value is “N/A”. 

a “MISSING” is allowed when a duplicate result was not available.

b

 If the result_sign is “eq,” then the result value field must be numeric and comply with the above criteria. 

Otherwise the result sign is “lt” and the result value is “null.” Method EPA 515.3 will not have a result value, it 

must always be reported as less than MRL. 

There is no mechanism in this version to allow SDWARS/UCMR to issue a 

notice back to your CDX or registered e-mail account when a “should” 

condition is encountered. The only way to check for the “should” case range 

checks is through the online application. (See the UCMR IG Volume II for 

details on addressing range checks online.) 
 

 5-10 
A-1

Appendix A 

UCMR XML Document Type Definition, Version 2.1

<?xml version='1.0' encoding='UTF-8' ?>

<!-- This XML DTD was developed on behalf of EPA for reporting data related to the Unregulated Contaminant 

Monitoring Regulation (UCMR)

Author: Paul Macias

Company: Logistics Management Institute

Contact Information: pmacias@lmi.org

Schema Version: 2.1

Date: 04/13/01

-->

<!-- Acronyms used in this DTD:

UCMR = Unregulated Contaminant Monitoring Regulation,

CDX = Central Data Exchange,

PWSS = Public Water System Supervision,

PWS = Public Water System

-->

<!ELEMENT UCMR_PWSS (Header_Data , Detail)>

<!ELEMENT Header_Data (Base_Header_Data , Customer_Header_Data)>

<!ELEMENT Detail (Lab_Id , Batch* , PWS*)>

<!ELEMENT Base_Header_Data (CDX_Identification , Schema_Version , Environment , Report_Type)>

<!ELEMENT Customer_Header_Data (Transaction)>

<!ELEMENT CDX_Identification (#PCDATA)>

<!-- "CDX_Identification" is the sender's CDX user ID.

-->

<!ELEMENT Schema_Version (#PCDATA)>

<!-- The version of this schema is "2.1"

-->

<!ELEMENT Environment (#PCDATA)>

<!-- Valid environment codes are:

T: Test

P: Production

-->

<!ELEMENT Transaction (Transaction_Purpose , Transaction_Date , Transaction_Time)>

<!ELEMENT Report_Type (#PCDATA)>

<!-- The Report_Type code must be:

UCM: Unregulated Contaminant Monitoring

-->
A-2

<!ELEMENT Transaction_Purpose (#PCDATA)>

<!-- Valid Transaction_Purpose values are

o: Original submission

r: Replacement submission

-->

<!ELEMENT Transaction_Date (#PCDATA)>

<!ATTLIST Transaction_Date e-dtype NMTOKEN #FIXED 'date' >

<!ELEMENT Transaction_Time (#PCDATA)>

<!ATTLIST Transaction_Time e-dtype NMTOKEN #FIXED 'time' >

<!ELEMENT Lab_Id (#PCDATA)>

<!-- For Lab_Id use the federal laboratory number -->

<!ELEMENT Batch (Batch_Id , Extraction_Analysis_Date , Analytical_Method , Analyte+)>

<!ELEMENT PWS (PWS_Id , Facility+)>

<!ELEMENT Batch_Id (#PCDATA)>

<!-- For Batch_Id provide an extraction batch number. If the analytical method does not involve 

extraction in the process, provide the analysis batch number.

-->

<!ELEMENT Extraction_Analysis_Date (#PCDATA)>

<!ATTLIST Extraction_Analysis_Date e-dtype NMTOKEN #FIXED 'date' >

<!ELEMENT Analytical_Method (#PCDATA)>

<!-- For Analytical_Method use the SDWIS code list for methods.

-->

<!ELEMENT Analyte (Analyte_Code , Spiking_Concentration , Analytical_Precision , Analytical_Accuracy)>

<!ELEMENT Analyte_Code (#PCDATA)>

<!ELEMENT Spiking_Concentration (#PCDATA)>

<!ELEMENT Analytical_Precision (#PCDATA)>

<!ELEMENT Analytical_Accuracy (#PCDATA)>

<!ELEMENT PWS_Id (#PCDATA)>

<!ELEMENT Facility (Facility_Id , Facility_Sample_Point+)>

<!ELEMENT Facility_Id (#PCDATA)>

<!ELEMENT Facility_Sample_Point (Sample_Point_Id , Sample_Point_Sample+)>

<!ELEMENT Sample_Point_Id (#PCDATA)>

<!ELEMENT Sample_Point_Sample (Sample_Id , Sample_Collection_Date , Analysis_Type , 

Lab_Sample_Comment? , Analysis+)>

<!ELEMENT Sample_Id (#PCDATA)>
UCMR XML DTD, Version 2.1

A-3

<!ELEMENT Sample_Collection_Date (#PCDATA)>

<!ATTLIST Sample_Collection_Date e-dtype NMTOKEN #FIXED 'date' >

<!ELEMENT Analysis_Type (#PCDATA)>

<!-- Valid Analysis_Type values are:

rfs: Raw field sample—untreated sample collected and submitted for analysis under this rule.

rds: Raw duplicate field sample—untreated field sample duplicate collected at the same time and place

 as the raw field sample and submitted for analysis under this rule.

tfs: Treated field sample—treated sample collected and submitted for analysis under this rule.

tds: Treated duplicate field sample—Treated duplicate field sample

 collected at the same time and place as the treated field sample and submitted for analysis under this rule.

-->

<!ELEMENT Lab_Sample_Comment (#PCDATA)>

<!ELEMENT Analysis (Analyte_Code , Batch_Id , Analytical_Method, Analysis_Result , Analysis _Status?)>

<!ELEMENT Analysis_Result (Value? , Result_Sign , Presence?)>

<!ELEMENT Analysis_Status (Reviewer_Status , Lab_Result_Comment?)>

<!ELEMENT Value (#PCDATA)>

<!-- Values must be in the appropriate unit of measure for analyte as stated in the UCMR. Though the units of 

measure are not transmitted, the list of units of measure is:

Degrees Celsius

Micrograms per liter

Nephelometric turbidity units

pH units

Micrograms per liter

-->

<!ELEMENT Result_Sign (#PCDATA)>

<!-- Valid Result_Sign values are:

lt: Less than

eq: Equals

-->

<!ELEMENT Presence (#PCDATA)>

<!-- Valid Presence values are:

p: Present

a: Absent

-->

<!ELEMENT Reviewer_Status (#PCDATA)>

<!-- Valid Reviewer_Status values are:

h: Hold result record

a: Approve result

-->

<!ELEMENT Lab_Result_Comment (#PCDATA)>
A-4
B-1

Appendix B 

UCMR File Structure Tree Diagram

This appendix provides a graphical depiction of the UCMR file structure. It is not 

possible to provide a picture of the entire tree diagram at once due to size 

limitations. In order to present the tree diagram, we broke the file structure into 

three sections. Each section shows the detail for a specific portion of the file 

structure.

Reading from left to right and bottom to top, Figure B-1 shows the root 

element of UCMR_PWSS and its sub-elements, Header_Data and Detail. The

Header_Data is expanded to reveal the detail of the Header_Data portion of the 

file structure. The Detail section of the file structure can be seen in Figures B-2 

and B-3.

Figure B-1. UCMR_PWSS Tree Diagram with Header_Data

The Detail section of the file structure is, like the overall tree diagram, too large to 

depict as a single tree diagram. In order to best present the tree diagram, the 

Detail section is split into two sections. The first diagram illustrates the file 

structure four levels out with the details of PWS in Figure B-3.
B-2

Figure B-2. UCMR_PWSS Tree Diagram with Detail

Figure B-3 shows the fully expanded PWS path exposing all of its children 

elements; whereas in Figure B-2, the full PWS path is not expanded due to size 

limitations of the diagram.

Figure B-3. PWS Path Tree Diagram
UCMR File Structure Tree Diagram

B-3

LOGICAL STRUCTURE

This section contains tables defining the UCMR DTD file content models. Each 

section is titled with the parent or container element and is followed by a table 

that lists the children or the contents of the container. The sub-element column 

defines the path. The description column defines the last element in the path in the 

sub-element column of the table. A more detailed definition with element 

attributes and associated code lists (e.g., Analyte Code List and Method Code 

List) is in Appendix C.

The UCMR_PWSS Element

The root element for the UCMR XML document is UCMR _PWSS, as shown in 

Table B-1. There are two elements below the root element. They are Header_Data 

and Detail. Table B-2 and Table B-3 describe the sub-elements respectively.

Table B-1. Top-Level Sub-Elements of UCMR_PWSS

Sub-element Description

Header_Data This sub-element occurs once at the beginning of a 

transaction file to provide transaction processing 

information. The sub-element is composed of 

standard EPA header elements and UCMR 

customer-specific data.

Detail This sub-element contains the lab identification 

number, batch data-quality records, and PWS 

sampling results records. This sub-element occurs 

once for each transaction of UCMR data from a 

laboratory.

HEADER_DATA SUB-ELEMENT

This container sub-element contains secondary sub-elements that hold all the data 

for the transaction type and CDX routing.

Each document has one instance of Header_Data (see Table B-2).
B-4

Table B-2. Header_Data Sub-Elements

Sub-element Description

Base_Header_Data This sub-element defines the type of 

transaction and version. The sub-element 

contains information that informs the parser 

how to process the data properly.

Base_Header_Data/CDX_Identification This sub-element contains the CDX user 

identification for the submitter of the file. 

The user ID will assist CDX if notifications 

are necessary for processing files.

Base_Header_Data/Schema_Version This sub-element defines which version of 

the DTD schema was the basis for 

generating the XML transaction.

Base_Header_Data/Environment This sub-element can define a transaction 

as test or production data. The use of “test” 

definition is not accepted by the UCMR file 

upload process. A file-testing capability is 

being developed for CDX.

Base_Header_Data/Report_Type This sub-element defines the report as the 

UCMR transaction.

Customer_Header_Data This sub-element enables the laboratory to 

generate transaction-specific information.

Customer_Header_Data/Transaction This sub-element defines the entire 

transaction by the version, purpose, date, 

and time.

Customer_Header_Data/Transaction/

Transaction_Purpose

This sub-element defines the purpose of the 

transaction.

Customer_Header_Data/Transaction/

Transaction_Date

This sub-element identifies the date the 

transaction was prepared.

Customer_Header_Data/Transaction/

Transaction_Time

This sub-element identifies the time the 

transaction was prepared.
UCMR File Structure Tree Diagram

B-5

Detail Sub-Element

This container sub-element contains secondary sub-elements that hold all the 

laboratory, batch, and PWS data for recording analytical sample results.

Table B-3. Detail Sub-Elements

Sub-element Description

Lab_Id This sub-element identifies the laboratory that did 

the analysis submitted in the transaction.

Batch This sub-element contains the batch ID, date, 

analytical method, and analytes. This sub-element 

occurs one or more times to provide a series of 

batches reported by the same lab.

Batch/Batch_Id This sub-element identifies the extraction batch 

assigned by the lab (if extraction was not part of the 

method, use the analysis batch identification).

Batch/Extraction_Analysis_Date This sub-element identifies the date that the 

processing of samples contained in each extraction 

batch (or an analysis batch if there is no extraction) 

was completed.

Batch/Analytical_Method This sub-element defines the analytical method 

used to analyze the samples in the batch.

Batch/Analyte This sub-element contains the analyte code and the 

data quality that are part of a batch. This element 

occurs one or more times for a batch.

Batch/Analyte/Analyte_Code This sub-element identifies the applicable analyte 

for a batch quality control (QC) record. Analytes are 

identified by their SDWIS code value.

Batch/Analyte/Spiking_Concentration This sub-element defines the concentration added 

to a sample to be analyzed for calculating analytical 

precision and accuracy if the value reported is 

assumed to be in the same unit of measure as that 

reported for analytical results.

Batch/Analyte/Analytical_Precision This sub-element identifies the analytical precision 

used for measuring the analyte for the batch 

according to the observed variability of results for 

duplicate spike samples. Values are percentages 

(e.g., 95.5) or if not measured, “missing.” The 

decimal point is not included in the element size 

limit.
B-6

Table B-3. Detail Sub-Elements (Continued)

Sub-element Description

Batch/Analyte/Analytical_Accuracy This sub-element identifies the analytical accuracy 

used for measuring the analyte for the batch 

according to the percent recovered from spiked 

samples. Values are percentages (e.g., 95.5). The 

decimal point is not included in the element size limit.

PWS This sub-element contains the facility and PWS_Id 

sub-elements. This sub-element occurs one or more 

times to provide a series of sample results.

PWS/PWS_Id This sub-element identifies a PWS.

PWS/Facility This sub-element contains the facility identification 

number and sample points. This sub-element occurs

one or more times for each PWS.

PWS/Facility/Facility_Id This sub-element identifies a facility within the PWS 

using an identification number that is unique within the 

PWS.

PWS/Facility/Facility_Sample_Point This sub-element contains the sampling point 

identification. The identification must be either static or 

traceable to previous numbers and type identifications 

throughout the period of unregulated contaminant 

monitoring. This sub-element occurs one or more 

times for each facility.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Id

This sub-element defines the identification number, 

established by the state or at the state’s discretion; the 

sampling point that is unique to the PWS for an intake 

for each source of water: a treatment plant, a 

distribution system, or other location of water 

treatment or delivery; and describes where samples 

may be taken.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample

This sub-element defines the element’s number, type, 

sample comment, and analysis. This sub-element 

occurs one or more times for each sample point.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Sample_Id

This sub-element identifies the identification number 

of the sample.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/

Sample_Collection_Date

This sub-element identifies the date the sample is 

collected.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/

Analysis_Type

This sub-element identifies the type of sample 

collected.
UCMR File Structure Tree Diagram

B-7

Table B-3. Detail Sub-Elements (Continued)

Sub-element Description

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/

Lab_Sample_Comment

This sub-element lists comments about the sample as 

it was collected. This sub-element is optional.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis

This sub-element contains the analytical result for a 

sample’s single analyte and laboratory result status. 

The analysis data are associated with a batch 

reported in the same transaction or already recorded 

in SDWARS. This sub-element occurs one or more 

times for each sample.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analyte_Code

This sub-element identifies the applicable analyte for a 

sample analysis record. Analytes are identified by 

their SDWIS code value.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Batch_Id

This sub-element identifies the batch (assigned by the 

lab) that the sample was a part of in producing the 

analytical result(s).

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analytical_Method

This sub-element identifies the analytical method that 

governed the analysis of the sample as part of the 

batch.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analysis_Result

This sub-element contains the analytical result for the 

analyte identified in the same analysis group.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analysis_Result/Value

This sub-element gives the result as a measured 

value based on the EPA defined unit of measure for 

an analyte.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analysis_Result/Result_Sign

This sub-element defines an analytical result as less 

than the EPA defined MRL or as being equal to the 

measured value.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analysis_Result/Presence

This sub-element defines whether or not an analyte is 

present. (This element is currently not used, but is 

reserved for future use.)

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analysis_Status

This sub-element contains the laboratory’s status and 

comments for an analyte’s analysis.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analysis_Status/Reviewer_Status

This sub-element gives the laboratory’s status for an 

analyte’s analysis.

PWS/Facility/Facility_Sample_Point/

Sample_Point_Sample/Analysis/

Analysis_Status/

Lab_Result_Comment

This sub-element lists the laboratory’s comments for 

an analyte’s analysis.
B-8
C-1

Appendix C 

UCMR Data Dictionary: XML DTD, Version 2.1

CONTENTS

CONTENTS................................................................................................ C-1

INTRODUCTION ........................................................................................ C-3

HOW TO READ THIS DATA DICTIONARY.................................................. C-3

Element Name ........................................................................ C-3

A ELEMENTS............................................................................................ C-4

Analysis_Type........................................................................ C-4

Analyte_Code......................................................................... C-5

Analytical_Accuracy.............................................................. C-7

Analytical_Method................................................................. C-8

Analytical_Precision ............................................................ C-10

B ELEMENTS.......................................................................................... C-11

Batch_Id ............................................................................... C-11

C ELEMENTS.......................................................................................... C-12

CDX_Identification.............................................................. C-12

E ELEMENTS .......................................................................................... C-13

Environment......................................................................... C-13

Extraction_Analysis_Date.................................................... C-14

F ELEMENTS........................................................................................... C-15

Facility_Id ............................................................................ C-15

L ELEMENTS .......................................................................................... C-16

Lab_Id .................................................................................. C-16

Lab_Result_Comment.......................................................... C-17

Lab_Sample_Comment ........................................................ C-18

P ELEMENTS .......................................................................................... C-19

Presence (reserved for future use)........................................ C-19

PWS_Id ................................................................................ C-20

R ELEMENTS.......................................................................................... C-21

Report_Type ......................................................................... C-21

Result_Sign .......................................................................... C-22

Reviewer_Status................................................................... C-23
C-2

S ELEMENTS .......................................................................................... C-24

Sample_Collection_Date...................................................... C-24

Sample_Id............................................................................. C-25

Sample_Point_Id .................................................................. C-26

Schema_Version................................................................... C-27

Spiking_Concentration......................................................... C-28

T ELEMENTS .......................................................................................... C-29

Transaction_Date ................................................................. C-29

Transaction_Purpose ............................................................ C-30

Transaction_Time................................................................. C-31

V ELEMENTS.......................................................................................... C-32

Value .................................................................................. C-32
UCMR Data Dictionary: XML DTD, Version 2.1

C-3

INTRODUCTION

This appendix contains the data dictionary for the UCMR DTD. This appendix 

also contains introductory materials about how to read the data dictionary. Only 

the data content elements are defined here. Group defining elements have a description in the logical structure of Appendix B.

HOW TO READ THIS DATA DICTIONARY

The data dictionary contains the element name, definition of the element, characteristics for the element, its relationship in the hierarchy, and an example of its 

use. Below you will find further explanation for each segment of the definition in 

the dictionary structure.

Element Name

Definition:

This section provides a textual definition of the element and how it is used in the 

DTD.

Characteristics:

The characteristics of an element provide information on the use of the element. 

Characteristics include data type (alpha-numeric or numeric), size or string length, 

requirement of optional or mandatory, and occurrences.

Parent Hierarchy:

The parent hierarchy section gives the relationship of the element to the root 

element.

Tagged Example:

The tagged example shows the element tagged with data as an XML document 

would appear.
C-4

A ELEMENTS

Analysis_Type

Definition:

The Analysis_Type element identifies the type of sample collected.

Characteristics:

Data Type: AN

Size: 3

Requirement: Mandatory (for <Sample_Point_Sample> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Tagged Example:

<Analysis_Type>rfs</Analysis_Type>

Code List:

Sample Type Definition of Sample Type 

rfs Raw field sample—untreated sample collected and submitted 

for analysis.

rds Raw duplicate field sample—untreated field sample duplicate 

collected at the same time and from the same place as the 

raw field sample and submitted for analysis. (only small 

systems)

tfs Treated field sample—treated sample collected and submitted 

for analysis. (most UCMR systems)

tds Treated duplicate field sample—treated field sample duplicate 

collected at the same time and from the same place as the 

treated field sample and submitted for analysis. (only small 

systems)
UCMR Data Dictionary: XML DTD, Version 2.1

C-5

Analyte_Code

Definition:

Identifies the applicable analyte for a batch quality control (QC) record or an 

analysis result record. Analytes are identified by their SDWIS code value.

Characteristics:

Data Type: N

Size: 4

Requirement: Mandatory (for <Analyte> loops and <Analysis> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Batch

Analyte

~and~

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Tagged Example:

<Analyte_Code>2009</Analyte_Code>
C-6

Code List:

SDWIS Code UCMR Analyte Name

List 1–Assessment Monitoring Analytes

2009 4,4’-DDE

1039 Perchlorate

2108 DCPA mono/di-acid degradates a

2027 Acetochlor

2052 EPTC

2251 MTBE

2254 Nitrobenzene

2266 2,6-dinitrotoluene

2270 2,4-dinitrotoluene

2272 Terbacil

2626 Molinate

List 2–Screening Survey Analytes

3201 Aeromonas

2029 Prometon

2056 Diazinon

2102 Disulfoton

2103 Diuron

2104 Fonofos

2233 2-methyl-phenol

2254 Low-level Nitrobenzene

2268 1,2-diphenylhydrazine

2283 Linuron

2328 2,4-dinitrophenol

2332 2,4,6-trichlorophenol

2334 2,4-dichlorophenol

2545 Terbufos

aDCPA mono-acid degradate and di-acid degradate are not 

reported to SDWARS individually.
UCMR Data Dictionary: XML DTD, Version 2.1

C-7

Analytical_Accuracy

Definition:

Identifies the Analytical_Accuracy for measuring the analyte for the batch 

according to the percent recovered from spiked samples. Values are to be 

percentages (e.g. 95.5). The use of a decimal point is not included in the element 

size limitation.

Characteristics:

Data Type: N

Size: 1-5

Requirement: Mandatory (for <Data_Quality> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Batch

Analyte

Data_Quality

Tagged Example:

<Analytical_Accuracy>95.5</Analytical_Accuracy>
C-8

Analytical_Method

Definition:

The element Analytical_Method defines the analytical method used to analyze the 

samples in the batch.

Characteristics:

Data Type: AN

Size: 6-15

Requirement: Mandatory (for <Batch> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Batch

~and~

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Tagged Example:

<Analytical_Method>AOAC 990.06</Analytical_Method>

Code List:

Analytical Method

Abbreviated Method Name

(40 character maximum)

AOAC 990.06 Organochlorine pesticides in water

AOAC 991.07 Nitrogen/phosphorus pesticides

AOAC 992.32 Chlorinated acid pesticides

ASTM D5317 Chlorinated organic acids, GC/ECD
UCMR Data Dictionary: XML DTD, Version 2.1

C-9

Analytical Method

Abbreviated Method Name

(40 character maximum)

ASTM D5475 Pesticides, nitrogen/phosphorus, LLE, GC, NPD

ASTM D5790 VOC, GC/MS, P&T, capcolumn

ASTM D5812 Pesticides, chlorinated, GC

EPA 1605 Membrane filter, aeromonas

EPA 314.0 Perchlorate, ion chromatography

EPA 502.2 VOC, GC, PID/ECD, P&T

EPA 507 Pesticides, nitrogen/phosphorus, LLE, GC, NPD

EPA 508 Pesticides, chlorinated, LLE, GC/ECD

EPA 508.1 Pesticides, chlorinated, SPE, GC/ECD

EPA 515.1 Herbicides, acids, LLE, GC/ECD

EPA 515.2 Herbicides, acids, SPE, GC/ECD

EPA 515.3 Herbicides, acids, LLE, GC/ECD

EPA 515.4 Herbicides, acids, micro LLE, GC/ECD

EPA 524.2 VOC, GC/MS, P&T, capcolumn

EPA 525.2 Organics, SPE, GC/MS

EPA 526 Organics, SPE, GC/MS

EPA 528 Phenols, SPE, GC/MS

EPA 532 Phenylurea, SPE, HPLC/UV

SM 6200 B VOC, GC/MS, P&T, capcolumn

SM 6200 C VOC, GC/MS, P&T, capcolumn

SM 6210 D VOC, GC/MS, P&T, capcolumn
C-10

Analytical_Precision

Definition:

Identifies the Analytical_Precision for measuring the analyte for the batch 

according to the observed variability of results for duplicate spike samples. 

Values are to be percentages (e.g., 8.25) or “missing” if not measured. The use of 

a decimal point is not included in the element size limitation.

Characteristics:

Data Type: N

Size: 1-5

Requirement: Mandatory (for <Data_Quality> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Batch

Analyte

Data_Quality

Tagged Example:

Example 1:

<Analytical_Precision>7.5</Analytical_Precision>

Example 2:

<Analytical_Precision>missing</Analytical_Precision>
UCMR Data Dictionary: XML DTD, Version 2.1

C-11

B ELEMENTS

Batch_Id

Definition:

The element Batch_Id identifies the extraction batch assigned by the lab (if 

extraction was not part of the method, use the analysis batch identification).

Characteristics:

Data Type: AN

Size: 1-15

Requirement: Mandatory (for <Batch> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Batch

~and~

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Tagged Example:

<Batch_Id>2001032811</Batch_Id>
C-12

C ELEMENTS

CDX_Identification

Definition:

The CDX_Identification element contains the CDX user identification for the 

submitter of the file. The user ID provided will assist CDX if notifications are 

necessary for processing files.

Characteristics:

Data Type: AN

Size: 8-30

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

PWSS_UCMR

Header_Data

Base_Header_Data

Tagged Example:

<CDX_Identification>DJohnson</CDX_Identification>
UCMR Data Dictionary: XML DTD, Version 2.1

C-13

E ELEMENTS

Environment

Definition:

The Environment element can define a transaction as test or production data. The 

use of “test” is not accepted by the UCMR file upload process.

Characteristics:

Data Type: AN

Size: 1

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Header_Data

Base_Header_Data

Tagged Example:

<Environment>T</Environment>

Code List:

Environment Code Value Environment

P Production

T Test
C-14

Extraction_Analysis_Date

Definition:

The element Extraction_Analysis_Date defines the date that the processing of 

samples contained in each extraction batch (or an analysis batch if there is no 

extraction) was completed.

Attribute:

<!ATTLIST Extraction_Analysis_Date e-dtype NMTOKEN #FIXED ‘date’ >

Characteristics:

Data Type: N

Size: 8

Requirement: Mandatory (for <Batch> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Batch

Tagged Example:

<Extraction_Analysis_Date>20010701</Extraction_Analysis_Date>
UCMR Data Dictionary: XML DTD, Version 2.1

C-15

F ELEMENTS

Facility_Id

Definition:

The Facility_Id element defines the identification number of the facility.

Characteristics:

Data Type: AN

Size: 1-6

Requirement: Mandatory (for <Facility> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Tagged Example:

<Facility_Id>00010</Facility_Id>
C-16

L ELEMENTS

Lab_Id

Definition:

The Lab_Id element identifies the laboratory that did the analysis submitted in the 

transaction.

Characteristics:

Data Type: AN

Size: 7

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Tagged Example:

<Lab_Id>VA12345 </Lab_Id>
UCMR Data Dictionary: XML DTD, Version 2.1

C-17

Lab_Result_Comment

Definition:

The Lab_Result_Comment defines comments about the sample and its analytical 

results.

Characteristics:

Data Type: AN

Size: 1-250

Requirement: Optional

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Analysis_Status

Tagged Example:

<Lab_Result_Comment>sample rerun due to machine 

failure</Lab_Result_Comment>
C-18

Lab_Sample_Comment

Definition:

The Lab_Sample_Comment element lists comments about the sample as it was 

collected. This element is optional.

Characteristics:

Data Type: AN

Size: 1-250

Requirement: Optional

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Tagged Example:

<Lab_Sample_Comment>heavy rains </Lab_Sample_Comment>
UCMR Data Dictionary: XML DTD, Version 2.1

C-19

P ELEMENTS

Presence (reserved for future use)

Definition:

The Presence element determines if an analyte is present or absent in the sample.

Characteristics:

Data Type: AN

Size: 1

Requirement: Optional

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Analysis_Result

Tagged Example:

<Presence>a</Presence>

Code List:

Presence Indicator Presence Indicator Definition

p present

a absent
C-20

PWS_Id

.Definition:

The PWS_Id element is the code for identifying each PWS.

Characteristics:

Data Type: AN

Size: 9

Requirement: Mandatory (for <PWS> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Tagged Example:

<PWS_Id>PA1234567 </PWS_Id>
UCMR Data Dictionary: XML DTD, Version 2.1

C-21

R ELEMENTS

Report_Type

Definition:

The Report_Type element defines this report as the UCMR transaction.

Attribute:

<!ATTLIST Report_Type report_type CDATA #FIXED “ucmr”>

Characteristics:

Data Type: AN

Size: 4

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Header_Data

Base_Header_Data

Tagged Example:

<Report_Type>ucmr</Report_Type>

Code List:

Report Type Report Type Definition

ucmr Unregulated-contaminant monitoring report
C-22

Result_Sign

Definition:

The element Result_Sign defines if the lowest concentration of an analyte is at the 

minimum reporting level, indicated by a value of less than MRL or equal to 

reported value (lt or eq). This element is required for all analytes except those for 

water quality.

Characteristics:

Data Type: AN

Size: 2

Requirement: Mandatory (for <Analysis_Result> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Analysis_Result

Tagged Example:

<Result_Sign>eq</Result_Sign>

Code List:

Result Sign Result Sign Definition

lt Less than MRL

eq Equals (a value = or > MRL)
UCMR Data Dictionary: XML DTD, Version 2.1

C-23

Reviewer_Status

Definition:

The Reviewer_Status defines the laboratory’s status for the result. The value of 

this element is one of the following: h (hold) or a (approve).

Characteristics:

Data Type: AN

Size: 1

Requirement: Mandatory (for <Analysis_Status> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Analysis_Status

Tagged Example:

<Reviewer_Status>a</Reviewer_Status>

Code List:

Status Options Status Definition

a Approve

h Hold
C-24

S ELEMENTS

Sample_Collection_Date

Definition:

The Sample_Collection_Date element defines the date the sample is collected.

Attribute:

<!ATTLIST Sample_Collection_Date e-dtype NMTOKEN #FIXED ‘date’ >

Characteristics:

Data Type: N

Size: 8

Requirement: Mandatory (for <Sample_Point_Sample> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Tagged Example:

<Sample_Collection_Date>20010701</Sample_Collection_Date>
UCMR Data Dictionary: XML DTD, Version 2.1

C-25

Sample_Id

Definition:

The Sample_Id element defines the identification number of the sample.

Characteristics:

Data Type: AN

Size: 1-15

Requirement: Mandatory (for <Sample_Point_Sample> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Tagged Example:

<Sample_Id>200105858 </Sample_Id>
C-26

Sample_Point_Id

Definition:

The Sample_Point_Id element defines the identification number, established by 

the state or at the state’s discretion, the PWS, that is unique to the PWS for an 

intake for each source of water: a treatment plant, a distribution system, or other 

location of water treatment or delivery and describes where samples may be 

taken.

Characteristics:

Data Type: AN

Size: 1-20

Requirement: Mandatory (for <Facility_Sample_Point> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Tagged Example:

<Sample_Point_Id>0002E </Sample_Point_Id>
UCMR Data Dictionary: XML DTD, Version 2.1

C-27

Schema_Version

Definition:

The Schema_Version element defines which DTD schema version was the basis 

for generating the XML transaction.

Characteristics:

Data Type: AN

Size: 1-4

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Header_Data

Base_Header_Data

Tagged Example:

<Schema_Version>2.1</Schema_Version>
C-28

Spiking_Concentration

Definition:

The Spiking_Concentration element defines the concentration added to a sample 

to be analyzed for calculating analytical precision and accuracy where the value 

reported is assumed to be in the same unit of measure that is reported for 

analytical results.

Characteristics:

Data Type: N

Size: 1-5

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

Batch

Analyte

Data_Quality

Tagged Example:

<Spiking_Concentration>20</Spiking_Concentration>
UCMR Data Dictionary: XML DTD, Version 2.1

C-29

T ELEMENTS

Transaction_Date

Definition:

The Transaction_Date defines the date the transaction was prepared.

Attribute:

<!ATTLIST Transaction_Date e-dtype NMTOKEN #FIXED ‘date’ >

Characteristics:

Data Type: N

Size: 8

Requirement: Mandatory

Occurrences: Once

Parents:

UCMR_PWSS

Header_Data

Customer_Header_Data

Transaction

Tagged Example:

<Transaction_Date>20010701</Transaction_Date>
C-30

Transaction_Purpose

Definition:

The Transaction_Purpose element defines the purpose of the transaction.

Characteristics:

Data Type: AN

Size: 1

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Header_Data

Customer_Header_data

Transaction

Tagged Example:

<Transaction_Purpose>o</Transaction_Purpose>

Code List:

Transaction Purpose Transaction Purpose Definition

o Original (additions only)

r Replace (updates and additions)
UCMR Data Dictionary: XML DTD, Version 2.1

C-31

Transaction_Time

Definition:

The Transaction_Time element defines the time the transaction was prepared.

Attribute:

<!ATTLIST Transaction_Time e-dtype NMTOKEN #FIXED ‘time’>

Characteristics:

Data Type: N

Size: 6

Requirement: Mandatory

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Header_Data

Customer_Header_Data

Transaction

Tagged Example:

<Transaction_Time>183000</Transaction_Time>
C-32

V ELEMENTS

Value

Definition:

The Value element defines the numeric value of the analysis for chemical and 

microbiological results.

Characteristics:

Data Type: N

Size: 1-15

Requirement: Mandatory (for <Analysis_Result> loops)

Occurrences: Once

Parent Hierarchy:

UCMR_PWSS

Detail

PWS

Facility

Facility_Sample_Point

Sample_Point_Sample

Analysis

Analysis_Result

Tagged Example:

<Value>3</Value>
E-1

Appendix E 

Abbreviations

ACES Access Certificates for Electronic Services

B2B business-to-business

CA certifying agent

CDX Central Data Exchange

CRK customer retrieval key

CSI Common Sense Initiative

DTD document-type definition

EC electronic commerce

EDI Electronic Data Exchange

EPA U.S. Environmental Protection Agency

FCC Federal Communications Commission

GPEA Government Paperwork Elimination Act

GPRA Government Performance and Results Act

GSA General Services Administration

I-3 Information Integration Initiative

ID identification

IG implementation guide

IT information technology

LIMS Laboratory Information Management Guide

NCOD National Contaminant Occurance Database

OEI Office of Environmental Information

OGWDW Office of Ground Water and Drinking Water

OIC Office of Information Collection

OLAP online analytical processing

PE performance evaluation

PIN personal identification number

PC personal computer

PWS public water systems
E-2

REI Reinventing Environmental Information

SDWARS Safe Drinking Water Accession and Review System

SSL secure socket layer

UCMR Unregulated Contaminant Monitoring Rule

URL uniform resource locator

XML Extensible Markup Language

Y2K Year 2000
Office of Water (4601)

Washington, DC 20460

EPA 816-R-01-022C

www.epa.gov/safewater

December 2001