OAR Box 1158 

Prepped by RyanDugan 

Document Number: 

25) l-C-1 

Docket Number: 

A-88-02 

Printed 4/28/2008 2:34:12 PM Sheet 25 of 349 

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A-88-02 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

Office of Air Quality Planning and Standards 

Research Triangle Park, North Carolina 27711 

OCT 2 3 1984 

••V- >. I I. cc 

Mr. Robert Hester 

Vice President 

Greensboro Industrial Platers 

Post Office Box 5327 

Greensboro, North Carolina 27403 

Dear Mr. Hester: 

As you may know, the United States Environmental Protection Agency (EPA) 

is considering adding chromium to the list of hazardous air pollutants under 

Section 112 of the Clean Air Act, as amended, August 1977. A preliminary 

assessment has identified 11 categories of stationary sources as potential 

emitters of significant quantities of chromium to the atmosphere. Included 

among these source categories is chrome electroplating. Because the 

preliminary assessment was based on limited data and available information, 

especially with respect to the quantities and forms of chromium actually 

emitted, UPA has undertaken a program to develop additional background 

information on all 11 source categories. This information will be used to 

determine the need for emission standards for new and existing facilities 

in each source category. —-.-.— 

A major element of the program consists of locating and visiting a 

number of representative plants within each source category. From these 

visits, one or more plants will be selected as candidates for testing. 

The tests will be performed to quantify the amount and form (trivalent or 

hexavalent) of chromium discharged from chromium emitting facilities and air 

pollution control devices. 

This letter is to confirm our visit to your plant located in Greensboro, 

;;orth Carolina, on October 29, 1984. The visit was scheduled by Ms. Barb 

Duletsky of Midwest Research Institute (MRI) in a telephone conversation 

with you on October 19, 1984. We expect to arrive at your office about 

9:00 a.m. In addition to myself, the visitors will include Messrs. James 

Crowder and Al Vervaert of EPA, and Ms. Barb Duletsky and Mr. Charles Hester 

of MRI. 

Ouring the visit, we wish to tour the chrome electroplating facilities. 

Emphasis will be placed on identifying potential emission points of chromium 

and gathering information on the design and perfonnance of control devices 

or other measures applied to the control of chromium emissions. 

/ 
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The authority for EPA's information gathering and source testing is 

included in Section 114 of the Clean Air Act (42 U.S.C. 7414). 'Enclosure 1 

contains a summary of this authority. I f you believe that disclosure of 

the information we request-would reveal a trade secret, you should clearly 

identify such information as discussed in the enclosure. Any information 

subsequently determined to constitute a trade secret wil l be protected 

under 18 U.S.C. 1905. I f no claim of confidentiality accompanies the 

information when i t is received by EPA, i t may be made available to the 

public by EPA without further notice (40 CFR Part 2.203, September 1, 1976). 

All emission data, however, wil l be available to the public. - _.. ... 

EPA has contracted with MRI (Contract No. 68-02-3817) to obtain 

information pertinent to stationary source categories which emit chromium. 

Thus, as noted in Enclosure 2, MRI has been designated by EPA as an authorized 

representative of the Agency. Therefore, MRI has the rights discussed above 

and in Enclosure 1. As a designated representative of the Agency, MRI is 

subject to the provisions of 42 U.S.C. 7414(c) respecting confidentiality 

of methods or processes entitled to protection as trade secrets. 

Enclosure 3 summarizes Agency and Emission Standards and Engineering 

Division policies and procedures for handling privileged information and 

describes EPA contractor commitments and procedures for use of confidential 

materials. I t is EPA's policy that compliance by an authorized representative 

with the requirements detailed in Enclosure 3 provides sufficient protection 

for the rights of submitters of privileged information. 

The following policies concerning liabilit y should also be of interest 

to you: 

1. If a Federal employee is injured in the course of his employment, 

he has compensation'coverage from the Government,_inder the Federal 

Employees Compensation Act (5 U.S.C. 8108 et seq.); and 

2. If , due to the employee's negligence, property damage or personal 

injury to third parties occurs, the Federal Tort Claim Act (28 U.S.C. 1346) 

provides a means of fixing any liabilit y upon the Federal Government. 

The Office of General Counsel, EPA, has informed the Agency that 

a firm may not condition EPA's "right of entry" upon consent to a waiver 

of liabilit y and has instructed employees not to sign such waivers. If 

you have any questions regarding this refusal, please contact Mr. Donnell L. 

!iantkes, Office of General Counsel, at (202) 382-5460. 

If you have any questions regarding this visi t please contact 

Ms. Barb Duletsky at (919) 781-5750 or Mr. Al Vervaert at (919) 541-5601. 

Sincerely, 

-JjtZi^UsJ I, <?^-./-*^_ 

Stanley

 /T. Cuffe, CTn'ef 

Industrial Studies Branch 

Emission Standards and 

Engineering Division 

3 Enclosures 
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Enclosure 1 

EPA's Information Gathering Authority 

Under Section 114 of the Clean Air Act -

Congress has given the U.S. Environmental Protection Agency broad authority 

to secure infonnation needed in the development of new source performance 

standards for new stationary sources under Section 111 of the Clean Air Act 

(42 U.S.C. 7411). Among other things, Section 114 of the Act (42 U.S.C. 

7414) authorizes EPA to make inspections, conduct tests, examine records, and 

require owners or operators of emission sources to submit infonnation reasonably 

required for the purpose of developing such standards. In addition, the EPA 

Office of General Counsel has interpreted Section 114 to include authority to 

photograph or require submission of photographs of pertinent equipment, 

emissions, or both. 

Under Section 114, EPA is empowered to obtain information described by 

that section even if you consider it to be confidential. You may, however, 

request that EPA treat such information as confidential. Information obtained 

under Section 114 and covered by such a request will ordinarily be released 

to the public only if EPA determines that the information is not entitled to 

confidential treatment.* Procedures to be used for making confidentiality 

determinations, substantive criteria to be used in such determinations, and 

special rules governing information obtained under Section 114 are set forth 

in 40 CFR Part 2 published in the Federal Register on September 1, 1976 

(40 FR 36902). 

Pursuant to §2.204(a) of EPA's Freedom of Information Act (FOIA) regulation, 

in the event a request is received, or it is determined that a request is 

likely to be received, or EPA desires to determine whether business information 

in its possession is entitled to confidential treatment even though no request 

*Section 114 requires public availability of all emission data and authorizes 

disclosure of confidential information in certain circumstances. See 

40 FR 36902 - 36912 (September 1, 1976). 
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v - - " 

for release of the information has been received (e.g. when EPA determines there 

is a need to disclose such information in the course of developing emission 

standards under Section 111 or 112 of the Clean Air Act), please.be advised that 

EPA will seek, at that time, the following information to support your claim as 

required by §2.204(e)(4) of EPA's FOIA regulations: 

1. Measures taken by your company to guard against undesired disclosure of 

the information to others; 

2. The extent to which the information has been disclosed to others, and 

the precautions taken in connection therewith; 

3. Pertinent confidentiality determinations, if any, by EPA or other 

Federal agencies, and a copy of any such determination, or reference to it, if 

available; and 

4. Whether your company asserts that disclosure of the information would 

be likely to result in substantial harmful effects on the business' competitive 

position, and if so, what those harmful effects would be, why they should be 

viewed as substantial, and an explanation of the casual relationship between 

disclosure and such harmful effects. 
- - --. ----- .. : ; 5 _ P.6 

Enclosure 2 

^

t 0 ST". 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

[ ^mKr-f I Office of Air Quality Planning and Standards 

K ^YrtrJ Research Triangle Park, North Carolina 27711 

DESIGNATION OF AUTHORIZED REPRESENTATIVE 

FOR STANDARDS OF PERFORMANCE FOR NEW STATIONARY SOURCES (SECTION 111) 

AND NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR POLLUTANTS (SECTION 112) 

Midwest Research Institute (MRI) is hereby designated an Authorized 

Representative of the Administrator of the United States Environmental 

Protection Agency for the purpose of assisting in the development of 

national emission standards for hazardous air pollutants under 42 U.S.C. 

7412 and standards of performance under 42 U.S.C. 7411 under Contract 

Number 68-02-3817. 

This designation is made pursuant to the Clean Air Act, 42 U.S.C. 7414. 

The United States Code provides that, upon presentation of this credential, 

the Authorized Representative named herein: (1) shall have a right of entry 

to, upon, or through any premises in which an emission source is located or 

in which records required to be maintained under 42 U.S.C. 7414(a)(1) are 

located, and (2) may at reasonable times have access to and copy any records, 

inspect any monitoring equipment or method required under 42 U.S.C. 7414(a)(1), 

and sample any emissions that the owner or operator of such source is required 

to sample. 

Authorized Representatives of the Administrator are subject to the 

provisions of 42 U.S.C. 7414(c) respecting confidentiality of methods or 

processes entitled to protection as trade secrets, as implemented by 

40 CFR 2.301(h) (41 FR 36912, September 1, 1976). 

Date: October 20, 1987 

Designation Expires: September 30, 1989 

-* Gerald A. EnrHon 

H Director 

)ffice of Air Quality Planning 

and Standards 

^ 
Enclosure 3 

U.S. Environmental Protection Agency 

Office of Air Quality Planning and Standards (OAQPS) 

Emission Standards Division (ESD) 

Summary of ESD/OAQPS 

Procedures for Safeguarding Confidential Business Information (CBI) 

1. Purpose 

This memorandum describes Agency policy and procedures pertaining to the 

handling and safeguarding of information that may be entitled to confidential 

treatment for reasons of-business confidentiality by the ESD, OAQPS, Office of 

Air and Radiation, U.S. Environmental Protection Agency. 

2. Other Appliable Documents: 

a. Clean Air Act as amended. 

b. 40 CFR, Chapter 1, Part 2, Subpart B - Confidentiality of Business 

Information. 

c. EPA Security Manual, Part II, Chapters 8 and 9. 

d. Clean Air Act Confidential Business Information Security Manual for 

Federal Employees. 

e. Clean Air Act Confidential Business Information Security Manual for 

Contractors. 

3. Exception: 

This document was prepared as a summary of data gathering and handling 

procedures used by the ESD, OAQPS, EPA. Nothing in this document shall be 

construed as superseding or being in conflict with any applicable regulations, 

statutes, or policies to which EPA is subject. 

4. Definition: 

Confidential Business Information - Information claimed by the provider to 

be confidential. This information may be identified with such titles as trade 

secret, secret, administrative secret, company secret, secret proprietary, 

privileged, administrative confidential, company confidential, confidential 

proprietary, or proprietary. NOTE: These markings should not be confdsed with 

the classification markings of National Security information identified in 

Executive Order 11652. 

January 1989 

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5. Background 

Section 114(c) of the Clean Air Act as amended reads as follows: 

"Any records, reports, or information obtained under subsection (a) 

shall be available to the public, except that upon a showing satisfactory 

to the Administrator by any person that records, reports, or information, 

or particular part thereof, (other than emission data) to which the 

Administrator has access under this section if made public, would 

divulge methods or processes entitled to protection as trade secrets 

of such person, the Administrator shall consider such rectfrd, 

report, or information or particular portion thereof confidential 

in accordance with,the purposes of Section 1905 of Title 18 of the 

United States Cade,'except that such record, report, or information 

may be disclosed to other officers, employees, or authorized 

representatives of the United States concerned with carrying out 

this Act or when relevant in any proceeding under this Act." 

The treatment of CBI by the U.S. EPA, including data obtained under 

Section 114 of the Clean Air Act, is governed by Title 40, Part 2, of the Code 

of Federal Regulations. These regulations require EPA offices to include a 

notice with each request for information to inform the business of: (1) its right 

to assert a claim of confidentiality covering part or all of the information, 

(2) the method for asserting a claim, and (3) the effect of failure to assert a 

claim at time of submission. In addition, the regulations: (1) set forth procedures for the safeguarding of confidential information; (2) contain provisions 

for providing confidential information to authorized representatives; (3) contain 

provisions for the release of information to the Congress, Comptroller General, 

other Federal agencies, State and local governments, and Courts; (4) permit the 

disclosure of information within EPA to employees with an official need for the 

information; and (5) prohibit wrongful use of such information and cite penalties 

for wrongful disclosure. Further, the regulations contain the Agency's basic 

rule concerning the treatment of requests for information under the Freedom of 

Information Act (5 U.S.C. 552). 

6. Procedures: 

a. Requests for Information 

Each request originating in the ESD for information made under the provisions 

of Section 114(a) is signed by the Division Director. The request includes ESD's 

standard enclosure "EPA's Information Gathering Authority Under Section 114 of 

the Clean Air Act," which was designed to meet the requirement of 40 CFR Part 2 

discussed above. 
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b. Receipt of Confidential Business Information 

Upon receipt of information for which confidential treatment has been 

requested, the Office of the Director (OD) directs the logging of the material 

and the establishment of a permanent file. If confidential treatment is requested, 

but is not specifically marked, the materialrwill be stamped "Subject to 

Confidentiality Claim." If part of the material is claimed to be confidential, 

that portion is marked "Subject to Confidentiality Claim." In compliance with 

Sections 2.204 and 2.208 of 40 CFR Part 2, the Branch Chief responsible for the 

requested information reviews the information to determine whether it is likely 

to be confidential in contrast to being available in the open literature, 

whether it is emission data, and whether it likely provides its holder with a 

competitive advantage. If .the information is clearly not confidential, the 

Branch Chief prepares a letter for signature of the Division Director, ESD, to 

notify the business of this finding. If the information is possibly confidential, 

the Branch Chief sends a memorandum to inform the OD, ESD, of this finding, gives 

a brief description of the material (what it is, how many pages, etc.), identifies 

it with the correct ESD project number, and lists those persons who are authorized 

to have access to the information. The information and memorandum are hand 

carried to the OD and placed in the CBI files with the material. A record of who 

will see the information (Attachment A) is also filed with the folder containing 

the information. If CBI is received from the owner via an authorized representative 

or a third party, the same procedure is followed, with the addition of clearly 

identifying the information and its source. By regulation, information for which 

confidential treatment is requested must be so marked or designated by the submitter. 

The EPA takes additional measures to ensure that the proprietary designation is 

uniformly indicated and immediately observable. All unmarked or undesignated 

information (except as noted below) is freely releasable. 

c. Storage of Confidential Business Information 

Folders, documents, or material containing CBI (as defined) shall be secured, 

at a minimum, in a combination-locked cabinet. Normal ESD procedure is to secure 

this information in a cabinet equipped with a security bar and locked using a 

four-way, changeable combination padlock. In addition, the entrance door to the 

CBI storage room is equipped with a changeable combination simplex lock. The 

locked files are under the control of the OD. 

Knowledge of the combinations of the locking devices is limited to the Document 

Control Officer (DCO) and the minimum number of persons required to effectively 

maintain normal business operations. Records of the locking device combination 

are stored elsewhere in conformance with the requirements of the EPA Security 

Manual. 

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Combinations of the locks are normally changed whenever a person with 

knowledge of the combinations Is transferred, terminates employment, no longer 

authorized access, or whenever the possibility exists that the combinations 

may have been subject to compromise. 

Files may be checked out upon confirmation that the requesting person is 

authorized to receive the information. All confidential files must be returned 

no later than 4:00 p.m. on the same day they are removed. The intended user must 

sign the CBI Control Record whem the file is checked out. 

The individual who signs out a confidential file is responsible for its 

safekeeping. The file must not be left unattended. The information must not be 

disclosed to any non-authjpp.zed» personnel. 

Storage procedures 'f©r CBI by an authorized representative of EPA (see 

Section d. below) must be, at a minimum, as secure as those established for EPA 

offices within OAQPS. Whenever CBI is removed from the EPA files to be transmitted 

to an authorized representative, a memorandum is placed in the file indicating 

what information was transmitted, the date, and the recipient. The authorized 

representative returns a siped receipt to the DCO. 

d. Access to Confidential Business Information 

Only authorized EPA employees may open and distribute CBI. 

Only employees who require amd are authorized access to CRI in the performance 

of their official duties are permitted to review documents and, upon receiving a 

confidential document, must sign and date the form shown in Attachment A to 

certify their access to the document. 

The CBI files are controlled by the OD, ESD, and maintained by a contractor 

cleared for access as an authorized representative. Access to the information is 

limited to those persons having a need to know in performing their offical duties. 

The ESD Rranch having primary interest in the CBI provides a memorandum for 

the record designating those personnel who are authorized to use CBI in a program 

under which CBI can be requested. No person is automatically entitled to access 

based solely on grade, position, or security clearance. The names of persons 

granted access to CBI are placed on the Clean Air Act CRI access list, which 

indicates the specific CBI each person is permitted to see. The access list is 

reviewed and updated periodically. 

Companies under contract to perform work for EPA may be designated authorized 

representatives of EPA if such designation is necessary in order for the contractor 

to carry out the work required by the contract. As authorized representatives, 
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contractors may be granted access to CBI by the Director, ESD. The following 

conditions apply when it has been determined that disclosure is necessary: 

(1) the contractor designated as a representative and its employees (a) may 

use such confidential information only for the purpose of carrying out the work 

required, (b) must refrain from disci osi ng-the information to anyone other than 

EPA without having received from EPA prior written approval of each affected 

business or of an EPA legal office, and (c) must return to EPA all copies of the 

information (and any abstracts or excerpts therefrom) upon request or whenever 

the information is no longer required for the performance of the work. 

(2) The authorized contractor designated as a representative must obtain a 

written agreement from each/of its employees who will have access to the information. 

A copy of each employee-Agreement (Attachment B) must be furnished to EPA before 

access is permitted. 

(3) The contractor designated as an authorized representative must agree that 

the conditions in the contract concerning the use and disclosure of CBI are 

included for the benefit of, and shall be enforceable by, both EPA and any affected 

business having a proprietary interest in the information. 

Information may be released to or accessed by EPA employees other than OAQPS 

employees only upon approval of the Director, ESD. 

Requests for CBI from other Federal agencies, Congress, the Comptroller General, 

Courts, etc., are processed by the OD, ESD, in accordance with 40 CFR 2, Subpart B. 

Requests under the Freedom of Information Act are handled in accordance with 

40 CFR 2, Subpart A. The ESD Freedom of Information Coordinator must be consulted 

prior to responding to any request for information if a claim of confidentiality 

has been asserted or if there is reason to believe that a claim might be made if 

the business knew release was intended. 

e. Use and Disclosure of Confidential Business Information 

The CBI as defined may not be used in publications, supporting documents, 

memoranda, etc., that become a part of the public domain, except as provided for 

in 40 CFR 2 Subpart B. 

The CBI may not be summarized without the approval of the Project Manager 

responsible for the CBI. Any authorized reproduction shall be provided by the 

CBI office staff. Further, all authorized reproductions must be introduced into 

the CBI control system and treated according to the same procedures applicable to 

the original confidential material. 

The EPA generated documents or material, or extracts of information containing 

CBI, must be stamped "Subject to Confidentiality Claim" and a cover sheet must be 

attached to identify the material as CBI. 

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f. Handling of Other Information 

Reports, memoranda, documents, etc., prepared by EPA or it s authorized 

representatives are not normally circulated outside EPA for comment or review 

prior to publication except in such cases as described above (6.d.3) wherein CBI 

is expressly included. However, because industrial-data-gathering visits , plant 

inspections, and source testing can involve inadvertent receipt of CBI, i t is the 

policy of ESD to protect all parties involved in the following manner. 

Prior to or at the inception of a plant inspection, data-gathering visit , or 

source test, EPA or it s authorized representative discusses with a responsible 

industry officia l the information sought, how i t is to be used, and how i t is to 

be protected. A copy of thrs summary is usually provided to the industry official 

being consulted. 

Following an inspection, visit , or test, a trip report is prepared to include, 

as practicable, al l information received by EPA or it s authorized representative 

during the visi t or test. The report may be prepared by either EPA or it s authorized 

representative. The draft of that report is clearly identified, on an attached, 

colored cover sheet as "Confidential Pending Determination." A second copy of 

the draft tri p report is forwarded by EPA to the responsible industry officia l 

for review. The responsible industry official is requested by cover letter to 

review the report, clearly mark any information considered to be confidential, 

and return the marked up-report to the responsible EPA employee within 2 weeks of 

receipt. The original draft is kept in the CBI "pending" fil e until the marked-up 

copy is returned by the business firm. 

When the reviewed copy of the report, as marked by the responsible plant 

official , is received by EPA, information designated confidential is placed in 

the CBI file s as described above. The original draft of the trip report is 

edited to delete the confidential information and to accommodate technical changes, 

and the tri p report is issued. 

2 Attachments 
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Attachment A 

CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD 

DATE RECEIVED: 

OATE OF DOCUMENT: 

RESPONSIBLE BRANCH: ^ ' CONTROL NUMBER: 

DOCUMENT AUTHOR: 

DESCRIPTION (PROVIDING ORGANIZATION, TITLE, SUBJECT, NUMBER OF COPIES, NUMBER OF PAGES) 

RETURN OATE: ' I DESTRUCTION DATE: INITIALS: 

EACH PERSON WHO IS GIVEN ACCESS TO THIS DOCUMENT MUST FILL IN THE INFORMATION BELOW. 

CHECK-OUT 

SIGNATURE DATE 

CHECK-IN 

SIGNATURE DATE 

DO NOT DETACH 

CAA Form 1 

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Attachment B 

1. AUTHORIZATION FOR ACCESS TO CAA CB« FOR EPA CONTRACTOR EMPLOYEES 

FULL NAME 

SSN 

POSITION | 

CONTRACTOR 

It Is the responsibility of each Authorizing.Of ficiai to ensure that the employees under his/her 

supervision who require access to CAA CBI: 

1. Sign the Confidentiality Agreement for EPA Contractor Employees 

2. Are fully Informed regarding their security responsibilities for CAA CBI. 

3. Obtain access only to tha^CA'A CB. required to perform their official duties 

SIGNATURE OF AUTHORIZING OFFICIAL TELEPHONE NO. DATE 

TITLE LOCATION 

II. CONFIDENTIALITY AGREEMENT FOR EPA CONTRACTOR EMPLOYEES 

I understand that I will have access to certain Confidential Business Information submitted to 

EPA or Its authorized representatives under the Clean Air Act (CAA). 

This access Is granted In accordance with my official duties as an employee of an Environmental 

Protection Agency contractor. 

I understand that CAA C8I may not be disclosed except as authorized by CAA and Agency 

regulations. I understand that I may face criminal prosecution if | willfully disclose CBI to any 

person not authorized to receive It. In addition, i understand that I may be subject to 

disciplinary action for violation of this agreement with penalties ranging up to and Including 

dismissal. 

I agree that I will treat any CAA CBI furnished to me as confidential and that I will follow the 

procedures set forth In the CAA Confidential Business Information Security Manual for 

Contractors. 

I have read and understand these procedures. 

SIGNATURE TELEPHONE NO. OATE 

III. HAVING COMPLETED REOUIRED TRAINING AND PASSED REQUIRED TEST, THE ABOVE-NAMED 

EMPLOYEE IS HEREBY AUTHORIZED TO HAVE ACCESS TO CAA CBI. 

SIGNATURE CBI COCO TELEPHONE NO. DATE 

CAA FORM 2