Enclosure 3 

EPA's Information Gathering Authority 

Under Section 114 of the Clean Air Act 

 Under Section 114 of the Act (42 U.S.C. 7414), Congress has given the U.S. Environmental 

Protection Agency broad authority to secure information needed "for the purpose of (i) developing or 

assisting in the development of any implementation plan under Section 110 or 111(d), any standard of 

performance under Section 111, or any emission standard under Section 112, (ii) determining whether any 

person is in violation of any such standard of any requirement of such a plan, or (iii) carrying out any 

provision of this Act." Amount other things, Section 114 authorizes EPA to make inspections, conduct 

tests, examine records, and require owners or operators of emission sources to submit information 

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.1

 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 

for release of the information has been received, 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 determinations, 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 causal relationship between disclosure and such harmful effects.1

 

1

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). 

1 of 1 

08/25/2010 1 of 21
7042

Enclosure 4

Federal Register I Vol 56. No. 35 I Thursday, February 21, 1991 I Notices

[AD-FRL-3906-3]

Disclosure of Emission Data Claimed as

Confidential Under Sections 110 and 114(c)

of the Clean Air Act

AGENCY: Environmental Protection

Agency (EPA)

ACTION: Notice of policy on public release

of certain emission data submitted under

sections 110 and I l4(c) of the Clean Air Act

(CAA).

SUMMARY: Section 114(c) of the CAA

excludes emission data from the general

definition of trade secret information.

Certain classes of data submitted to the EPA

under sections 110 and 114(a) of the CAA

are emission data, and, as such, cannot be

withheld from disclosure as confidential

pursuant to section 1905 of title 18 of the

United States Code. This notice clarifies

EPA's current policy, and solicits comment

regarding that policy and categories of data

which it considers excluded from a trade

secret definition.

DATES: Written comments pertaining to this

notice are requested by April 22, 1991.

ADDRESSES: Submit comments to: Nancy

D. Riley, U.S. Environmental Protection

Agency, Emission Standards Division,

Pollutant Assessment Branch (MD-I3),

Research Triangle Park, NC 21111.

FOR FURTHER INFORMAnON

CONTACT: Timothy Mohin (telephone:

(919) 541·5349 commercial/FTS 629-5349)

or Karen Blanchard (telephone: (919) 541-

5503 commerciallFTS 629-5503), Pollutant

Assessment Branch (MD-I3), Emission

Standards Division; or Thomas Rosendahl

(telephone: (919) 541-5404 commerciallFTS

629-5404), National Air Data Branch

(MD-14), Technical Support Division;

U.S. Environmental Protection Agency,

Research Triangle Park, North Carolina

27111.

SUPPLEMENTARY INFORMATION: The

EPA routinely uses the authority of sections

110 and 114(a) of the CAA to gather

technical information from industries

involved in operations that lead to emission

of pollutants to the ambient air. This

information has been used, among other

things, to better characterize emitting

facilities and to evaluate the need for and

impacts of potential regulation.

Information requests under sections 110

and 114(a) of the CAA typically include

questions on uncontrolled and controlled

emission rates and emission parameters of

the pollutant or group of pollutants of

concern. The respondents sometimes claim

that its response constitutes trade secret

information, and thus, should be treated as

confidential. Claims of confidentiality may

be made under section 114(c) of the CAA,

which states no 0 0 upon a showing

satisfactory to the Administrator by any

person that records, reports, or information,

or a particular part thereof, (other than

emission data) to which the Administrator

has access under this section ifmade public,

would divulge methods or processes entitled

to protection as trade secrets of such person,

the Administrator shall consider such 0 0 0

confidential in accordance with the purposes

of section 1905 of title 18 of the United

States Code 0 0 0." [fthe Administrator so

determines, the information is not

disclosable to the public.

However, section 114(c) of the CAA

provides that information claimed to be a

trade secret but which constitutes emission

data may not be withheld as confidential.

Although typically the EPA evaluates

whether information constitutes emission

data on a case-by-case basis, it believes that

some kinds of data will always constitute

emission data within the meaning of section

114(c). The purpose of this notice is to

describe, without attempting to be

comprehensive, that information which the

EPA generally considers to be emission data,

and which cannot qualify as confidential

under either section 114(c) or section 110 (as

set forth in 41 CFR 51.321, 51.322, and

51.323) of the CAA. The EPA is issuing this

notice to clarify its policy and procedures, to

facilitate the use of these data in automated

data systems and computer-based simulation

models, and to expedite processing of claims

for confidentiality or requests for disclosure.

The EPA presently determines that data

submitted to it as emission data does not

qualify as confidential if it meets the

following definition under 40 CFR

2.30 I(a)(2)(i):

a. Definitions. For the purpose of this

section, (I) Act means the Clean Air Act, as

amended, 42 U.S.C. 1401 et seq. (2)(i)

Emission data means, with reference to any

source of emission of any substance into the

air-

(A) Information necessary to determine

the identity, amount, frequency,

concentration, or other characteristics (to the

extend related to air quality) of any emission

which has been emitted by the source (or of

any pollutant resulting from any emission by

the source), or any combination of the

foregoing:

(B) Information necessary to determine

the identity, amount, frequency,

concentration, or other characteristics (to the

extent related to air quality) of the emission

which, under an applicable standard or

limitation, the source was authorized to emit

(including, to the extent necessary for such

purposes, a description of the manner or rate

of operation of the source), or any

combination of the foregoing.

(C) A general description of the location

and/or nature of the source to the extent

necessary to identify the source and to

distinguish it from other sources (including,

to the extent necessary for such purposes, a

description of the device, installation, or

operation constituting the source).

The table below lists the specific data

fields which the EPA presently considers to

constitute emission data and provides a brief

description of what each data field describes.

The descriptions are intended to provide

general information. This list is not

exhaustive, and, therefore, other data might

be found, in a proper case, to constitute

emission data.

Emission Data Fields

Facility Identification: The following data

fields are needed to establish the identity and

location of emission sources. This shall also

include a description or an identifier of the

device, installation, or operation constituting

the source. These data are used to locate

sources for dispersion evaluation and

exposure modeling.

Plant Name and related point identifiers

Address

City

County

AQCR (Air Quality Control Region)

MSA, PMSA, CMSA (Metropolitan

Statistical Areas)

State

Zip Code

Ownership and point of contact information

Locational Identifiers:

08/25/2010 2 of 21
Federal Register I Vol 56. No. 35 I Thursday, February 21, 1991 I Notices 7043

Latitude & Longitude, or UTM Grid

Coordinates

SIC (Standard Industrial Classification)

Emission point, device or operation

description information

SCC (Source Classification Codes)

Emission Parameters: The following data

fields are needed to establish the

characteristics of the emissions. This

information is needed for the analyses of

dispersion and potential control equipment.

Emission type

(e.g., nature of emissions such as CO2).

particulate or a specific toxic

compound, and origin of emissions

such as process vents, storage tanks or

equipment leaks)

Emission rate

(e.g., the amount released to the

atmosphere over time such as kglyr or

Ibs/yr)

Release height

(e.g., height above ground level where the

pollutant is emitted to the atmosphere)

Description of terrain and surrounding

structures

(e.g., the size of the area associated with

adjacent structures in square meters and

terrain descriptions such as

mountainous. urban, or rural)

Stack or vent diameter at point of emissions

(e.g., the inside diameter of vent at the

point of emission to the atmosphere in

meters)

Release velocity

(e.g., velocity ofrelease in m1sec)

Release temperature

(e.g., temperature of release at point of

release in degrees Kelvin)

Frequency of release

(e.g., how often a release occurs in events

per year)

Duration of release

(e.g., the time associated with a release to

the atmosphere)

Concentration

(e.g., the amount of an emission stream

constituent relative to other stream

constituents expressed as parts per

million (ppm), volume percent. or

weight percent)

Density of the emissions stream or average

molecular weight

(e.g., density expressed as fraction or

multiple of the density of air: molecular

weight in gig-mole)

Boiler or process design capacity

(e.g.•the gross heating value of fuel input

to a boiler at its maximum design rate)

Emission estimation method

(e.g., the method by which an emission

estimate has been calculated such as

material balance, source test, use of AP42 emission factors, etc.)

Percent space heat

(e.g., the percent of fuel used for space

heating)

Hourly maximum design rate

(e.g., the greatest operating rate that would

be expected for a source in a l-hour

period)

The EPA has determined that these data

are emission data and releasable upon

request. This determination applies to data

currently held by EPA as well as to

information submitted to EPA in the future.

Future requests for information under

sections 110 and 114 of the CM will

indicate that these emission data will not be

held confidential. This determination applies

only to the data listed in the table.

Determinations will continue to be made on

a case-by-case basis for data not specified in

this generic determination.

After consideration of comments on this

policy, a revised policy/determination may

be published.

Dated: February 8, 1991.

Michael Shapiro.

Acting Assistant Administrator for Air and

Radiation.

[FR Doc. 91-4114 Filed 2-20-91: 8:45 am]

08/25/2010 3 of 21
08/25/2010 Enclosure 4 of 215
 Enclosure 6 

Page 1 of 5 

Summary of OAQPS 

 Procedures for Safeguarding Clean Air Act (CAA) 

Confidential Business Information (CBI) 

January 2002 

1. Purpose: 

This memorandum describes policies and procedures set forth by the Office of Air Quality 

Planning and Standards (OAQPS) for the handling of information claimed as Confidential 

Business Information (CBI), whether submitted voluntarily or obtained under Section 114 of the 

Clean Air Act (CAA), and governed by U.S. Environmental Protection Agency (EPA) 

regulations in 40 Code of Federal Regulations (CFR), Part 2, Subpart B, and other EPA 

regulations. 

2. Reference Documents: 

a. Clean Air Act as amended. 

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

c. EPA Information Security Manual 2195A1 

d. Office of Air Quality Planning and Standards Confidential Business Information 

Security Manual (January 2009) 

3. Exception: 

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

the 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 (CBI) - 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 confused with the classification markings of National Security information identified in 

Executive Order 11652. 

08/25/2010 5 of 21
 

Page 2 of 5 

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 satisfactorily showing 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 

records, report, or information or particular portion thereof confidential in accordance with the 

purposes of Section 1905 of Title 18 of the United States Code, 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 EPA, including data obtained under Section 114 of the Clean Air Act, is 

governed by 40 CFR, Part 2. 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 authorize 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. Request for Information 

Each request for information made under the provisions of Section 114(a) is signed by 

the Division Director. The request includes 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. 

b. Receipt of CAA Confidential Business Information 

Upon receipt of information for which confidential treatment has been requested, the 

OAQPS Document Control Officer (DCO) logs in the material and a permanent file is 

established. If part of the material is claimed to be confidential, that portion should be 

marked “Subject to Confidentiality Claim.” In compliance with Sections 2.204 and 2.208 

of 40 CFR Part 2, the Group Leader responsible for the requested information reviews the 

information to determine the validity of the confidentiality claim as prescribed by the 

sections. If the information is clearly not confidential, the Group Leader prepares a letter 

08/25/2010 6 of 21
 

Page 3 of 5 

for the signature of the responsible Division Director to notify the business of this 

finding. 

Information claimed as confidential is hand carried to the OAQPS CBI Office to be 

logged into the OAQPS CAA CBI tracking system and filed for safekeeping. The 

OAQPS CAA CBI tracking system provides a brief description of the material 

(submitter, subject, number of pages, etc.), identifies it with the correct project number, 

or work assignment number, and lists those persons who are authorized to have access to 

the information. record of personnel accessing the information (Attachment A) is also 

kept on filed. By regulation, confidential information must be so marked or designated by 

the originator. 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) may be authorized for public release. 

c. Storage of CAA Confidential Business Information 

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

within the confines of the instructions listed in the OAQPS Security Manual. In addition, 

the CBI storage area has been identified specifically for this purpose and is equipped with 

supplementary locking devices. The storage area and files are under the direct control of 

the OAQPS DCO. 

Access to the storage area is limited to the Document Control Officer DCO, Document 

Control Officer Assistant (DCOA) and the minimum number of persons required to 

effectively maintain normal business operations as directed by the Director, Central 

Operations and Resources (CORE). 

Files may be issued upon confirmation that the requesting individual is authorized to 

receive the information. All confidential files must be returned no later than close of 

business on the same day. The intended user must sign the CBI Control Record when 

checking out files. 

Individuals signing out confidential files are responsible for their safekeeping. Files must 

never be left unattended. The information must not be disclosed to any non-authorized 

personnel. 

Storage procedures for CAA 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 notation is made in the file’s control record and transfer log indicating 

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

representative returns a signed receipt to the DCO. 

08/25/2010 7 of 21
 

Page 4 of 5 

d. Access to CAA Confidential Business Information 

Only authorized EPA employees may open or distribute CAA CBI. 

Only employees who require, have a need to know and are authorized access to CAA 

CBI 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 Group Leader having primary responsibility for the CAA CBI provides a 

memorandum to the DCO designating those personnel authorized to access specific CBI. 

NO person is automatically entitled to access based solely on grade, position, or security 

clearance. The names of persons granted access to CAA CBI are placed on the CAA CBI 

access list. The CAA CBI access list 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 the EPA may be designated authorized 

representatives of EPA. As authorized representatives, contractors may be granted access 

to CAA CBI. 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 disclosing 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 there from) 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 

confidentiality 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 CAA 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, CORE. 

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

etc., are processed in accordance with 40 CFR 2, Subpart B. 

08/25/2010 8 of 21
 

Page 5 of 5 

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

40 CFR 2, Subpart A. The Freedom of Information Act 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 CAA Confidential Business Information 

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

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

40 CFR 2 Subpart B. CAA CBI may not be summarized without the approval of the 

Group Leader responsible for the CAA CBI. Any authorized reproductions must be 

logged into the CAA CBI document tracking system and treated according to the same 

procedures applicable to the original confidential material. Documents, materials, or 

extracts of information generated by EPA which contain CAA CBI must be stamped 

“Subject to Confidentiality Claim” and a cover sheet must be attached to identify the 

material as CBI. 

f. Handling of Other Information 

Reports, memoranda, documents, etc., prepared by EPA or its authorized representatives 

are not normally circulated outside EPA for comment or review prior to publication 

except in such cases as described in section 6 above. However, because industrial-datagathering visits, plant inspections, and source testing can involve inadvertent receipt of 

CAA CBI, it is the policy of OAQPS to protect all parties involved in the following 

manner: 

(1) Prior to or at the inception of a plant inspection, data-gathering visit, or source test, 

EPA or its authorized representative discusses with a responsible industry official 

the information sought, how it is to be used, and how it is to be protected. A copy of 

this summary is usually provided to the industry official being consulted. 

(2) Following an inspection, visit, or test, a trip report is prepared to include, as 

practicable, all information received by EPA or its authorized representative during 

the visit or test. The report may be prepared by either EPA or its authorized 

representative. The draft report is clearly identified, with an attached, yellow cover 

sheet. A second copy of the draft trip report is forwarded by EPA to the responsible 

industry official 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 the time specified. The original draft is kept in the CBI file until the markedup copy is returned by the business firm. 

(3) 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 files as 

described above. The original draft of the trip report is edited to delete the 

confidential information and the trip report is authorized for release. 

08/25/2010 9 of 21
ATTACHMENT A 

EXAMPLE RECORD FORM FOR CBI ACCESS 

08/25/2010 10 of 21
CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD

DATE RECEIVED: RESPONSIBLE GROUP: CONTROL NUMBER:

DATE OF DOCUMENT: DOCUMENT AUTHOR:

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

RETURN DATE: DESTRUCTION DATE: INITIALS:

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

SIGNATURE DATE SIGNATURE DATE

CHECK-OUT CHECK-IN

TIME TIME

CAA Form 1 (Rev. 01/02)

08/25/2010 11 of 21
ATTACHMENT B 

EXAMPLE RECORD FORM FOR CBI ACCESS 

08/25/2010 12 of 21
CAA CBI Security Manual (Appendix A)

I. AUTHORIZATION FOR ACCESS TO CAA CBI FOR FEDERAL EMPLOYEES

FULL NAME POSITION

SSN OFFICE

It is the responsibility of each Authorizing Official* to ensure that the employees under his/her supervision who

require access to CAA CBI:

 1. Sign the Confidentiality Agreement for Federal Employees

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

 3. Obtain access only to that CAA CBI required to perform their official duties

SIGNATURE OF AUTHORIZING OFFICIAL* TELEPHONE NO. DATE

TITLE LOCATION

II. CONFIDENTIALITY AGREEMENT FOR FEDERAL EMPLOYEES

I understand that, in accordance with my official duties, I will have access to certain Confidential Business

Information submitted under the Clean Air Act (CAA) (42 U.S.C. 7401 et seq.)

I understand that, under 18 U.S.C. 1905 and 18 U.S.C 1924I am liable for a possible fine of up to $1,000 and/or

imprisonment for up to one year, if I willfully disclose CAA Confidential Business Information to any person not

authorized to receive it. Additionally, I understand that, I may be subject to disciplinary action for violation of

this agreement with penalties ranging up to and including dismissal.

I am aware that, I may be subject to criminal penalties under 18 U.S.C. 1001 if I have made any statement of

material facts knowing that such statement is false or if I willfully conceal any material fact. 

I agree that, upon the termination of my duties, transfer or departure from the Environmental Protection Agency, 

I will return all materials containing CAA Confidential Business Information in my possession to the OAQPS

CBI Office.

I certify that I have read and understand these procedures and those outlined in the CAA CBI Security Manual.

SIGNATURE TELEPHONE NO. DATE

III. THE UNDERSIGNED CERTIFIES THE ALL TRAINING AND TEST

REQUIREMENTS HAVE BEEN MET BY THE EMPLOYEE. 

 

 SIGNATURE CBI MANAGER/DCO TELEPHONE NO. DATE

IV. ANNUAL RE-CERTIFICATION: I certify that, in conjunction with my duties, I require access to

CAA CBI. I am current with all CBI handling procedures and security guidelines as outlined in the CCA CBI

Security Manual.

 

Date Date Date Date Date Date

Initial Initial Initial Initial Initial Initial

Date Date Date Date Date Date

Initial Initial Inital Initial Initial Initial

 CAA CBI From 2 (Rev. 01/02) * Must be Division Director (or equivalent) or above. 

A-1

08/25/2010 13 of 21
 Enclosure 7 

Site-Specific Test Plan Development Guidance

This information collection request (ICR) provides specific additional instructions for each 

prescribed test method to ensure that the collected data will meet the objectives of the ICR. To 

ensure that all data submitted in fulfillment of this ICR are of sufficient and known quality, EPA 

believes it is highly advisable for each facility (subject to emissions testing under the ICR) to 

prepare a site-specific test plan prior to testing. A site-specific test plan addresses the planning 

and quality assurance and quality control procedures and acceptance criteria for all of the testing, 

including the collection of process and fuel data. 

You may find guidance for developing such a site-specific test plan at 

http://www.epa.gov/ttn/emc/guidlnd/gd-042.pdf. Such a test plan would provide a means for 

you to verify that the quality assurance protocols, contained in the various test methods, are met. 

You need not submit the test plan to EPA; however, much of the information in a complete sitespecific test plan consists of data that are used for required fields in Version 3 of the EPA 

Electronic Reporting Tool (ERT) (see Enclosure 8). 

08/25/2010 14 of 21
Test Plan

Facility Information:

Enter the name of the facility

Enter physical Address

Enter physical city

Contact: Person to contact for more detail

Phone: Of above person

Fax: Of above person

Email: Of above person

Testing Company:

Name of primary testing organization

US postal address of above

US postal address of abov

e

Contact: Field test leader

Phone: Of above person

Fax: Of above person

Email: Of above person

Air Permit Number:

This is the State or Fed Permit Number

Permitted Source ID/Name:

Permitted Maximum Process Rate:

As listed in Title V or State Permit

Max. Normal Operation Process Rate:

From previous years operations

Target Process Test Rate

1. What is the specific purpose for the proposed testing?

The primary reasons for performing this emissions test is to satisfy the EPA's Section 114 Letter requiring this testing.

3. Will the test results be used for other regulatory purposes (e.g., emission inventories, 

 permit applications, etc.) beyond that stated above? If yes, explain.

List any secondary purposes that you will use the data from this emissions test to address. If known list those 

pollutants that are of secondary interest. Some examples are: Determine emissions of CO, THC, VOC and 

condensable PM emissions for use in emissions inventory reporting and determination of fees.

Industry NAICS: 56221

4a. Enter the process data to be documented during testing.

AFS #: FRS #: http://www.epa.gov/envi

SCC / Description 50100516 Waste Disposal - Solid Waste Disposal - Government - Other Incineration - Sludge: 

Fluidized Bed 

2. List all state and federal regulations that apply to the proposed testing:

Process Parameter Units Target Value Comments

Dried Sludge Fed Tons/hr 0 Provide estimated process 

rate for the test.

Moisture % 0

Oil Firing Rate gal/hr 0 Provide typical value.

Gas Firing Rate Ft^3/min 0 Provide typical value

Scrubber outlet temp deg F 0 Provide max or target temp.

Scrubber water flow Gal/min 0 Provide min or target flow.

Scrubber Pressure Drop in H2O 0 Provide min or target 

pressure drop across each 

component.

Thursday, April 08, 2010 Test Plan Page 1 of 7

Enclosure 8

08/25/2010 15 of 21
Test Plan

5a. Please give a brief description of the source (including control equipment) and attach source or

 process flow diagram:

This description should describe the process and associated controls to differentiate this facility from, or document 

similarity with others of same SCC.

5b. Control Devices:

7. Please provide the following information for each test parameter.

6. Please enter sampling location information.

4b. Enter the process lab data to be documented during testing.

Control Device Name

List all emissions control devices in order of process flow. Choose from

drop down lists. If not on list add description and provide detailed

desription in section 5a.

Target

Parameter 

Test

Method

Number of

Test Runs

Test Run

Duration

Sample 

Location Points Comments

Stack Exit Carbon Monoxide Method 10 3 240 0

Stack Exit 2,3,7,8-TCDD Method 23 3 240 0

Stack Exit 1,2,3,7,8-PeCDD Method 23 3 240 0

1,2,3,4,7,8-

HxCDD

Stack Exit Method 23 3 240 0

1,2,3,6,7,8-

HxCDD

Stack Exit Method 23 3 240 0

1,2,3,7,8,9-

HxCDD

Stack Exit Method 23 3 240 0

1,2,3,4,6,7,8-

HpCDD

Stack Exit Method 23 3 240 0

Stack Exit OCDD Method 23 3 240 0

Stack Exit 2,3,7,8-TCDF Method 23 3 240 0

Stack Exit 1,2,3,7,8-PeCDF Method 23 3 240 0

Stack Exit 2,3,4,7,8-PeCDF Method 23 3 240 0

Location

Round

Duct

Diam.

Distance from 

upstream dist.

Distance from

downstream dist.

Number of

Traverse Ports

Equiv. 

Diam

Min.Travers 

Points

Rect. Duct 

Length /Width

Stack Exit 0 00 0 2 0 0 2 4

Incinerator Exhaust Gas Temp deg F 0 Provide min or target temp.

Analysis Required Units Comments

Sludge moisture content %

Sludge mercury content ug/kg dry sludg

Sludge lead content ug/kg dry sludg

Sludge cadmium content ug/kg dry sludg

Ultimate/Proximate Analysis Use ASTM D3172, D5373

Sludge Nickel content ug/kg dry sludg

Sludge Arsenic content ug/kg dry sludg

Sludge Chromium content ug/kg dry sludg

Sludge Beryllium content ug/kg dry sludg

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1,2,3,4,7,8-

HxCDF

Stack Exit Method 23 3 240 0

1,2,3,6,7,8-

HxCDF

Stack Exit Method 23 3 240 0

2,3,4,6,7,8-

HxCDF

Stack Exit Method 23 3 240 0

1,2,3,7,8,9-

HxCDF

Stack Exit Method 23 3 240 0

1,2,3,4,6,7,8-

HpCDF

Stack Exit Method 23 3 240 0

1,2,3,4,7,8,9-

HpCDF

Stack Exit Method 23 3 240 0

Stack Exit OCDF Method 23 3 240 0

Stack Exit Other TCDD Method 23 3 240 0

Stack Exit Other PeCDD Method 23 3 240 0

Stack Exit Other HxCDD Method 23 3 240 0

Stack Exit Other HpCDD Method 23 3 240 0

Stack Exit Other TCDF Method 23 3 240 0

Stack Exit Other PeCDF Method 23 3 240 0

Stack Exit Other HxCDF Method 23 3 240 0

Stack Exit Other HpCDF Method 23 3 240 0

Stack Exit Total Dioxins Method 23 3 240 0

Stack Exit Total Furans Method 23 3 240 0

3,3',4,4'-TCB 

(PCB77)

Stack Exit Method 23 3 240 0

3,4,4',5-TCB 

(PCB81)

Stack Exit Method 23 3 240 0

2,3,3',4,4'-PeCB 

(PCB105)

Stack Exit Method 23 3 240 0

2,3,4,4',5-PeCB 

(PCB114)

Stack Exit Method 23 3 240 0

2,3',4,4',5-PeCB 

(PCB118)

Stack Exit Method 23 3 240 0

2',3,4,4',5-PeCB 

(PCB123)

Stack Exit Method 23 3 240 0

3,3',4,4',5-PeCB 

(PCB126)

Stack Exit Method 23 3 240 0

2,3,3',4,4',5/2,3,3',

4,4',5'-HxCB 

(PCBs156/157)

Stack Exit Method 23 3 240 0

2,3',4,4',5,5'-

HxCB (PCB167)

Stack Exit Method 23 3 240 0

3,3',4,4',5,5'-

HxCB (PCB169)

Stack Exit Method 23 3 240 0

2,3,3',4,4',5,5'-

HpCB (PCB189)

Stack Exit Method 23 3 240 0

Stack Exit Other Mono-CBs Method 23 3 240 0

Stack Exit Other Di-CBs Method 23 3 240 0

Stack Exit Other Tri-CBs Method 23 3 240 0

Stack Exit Other Tetra-CBs Method 23 3 240 0

Stack Exit Other Penta-CBs Method 23 3 240 0

Stack Exit Other Hexa-CBs Method 23 3 240 0

Stack Exit Other Hepta-CBs Method 23 3 240 0

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Stack Exit Other Octa-CBs Method 23 3 240 0

Stack Exit Other Nona-CBs Method 23 3 240 0

Stack Exit DeCB Method 23 3 240 0

Stack Exit Total PCBs Method 23 3 240 0

Stack Exit Total TEQ Method 23 3 240 0

Stack Exit Naphthalene** Method 23 3 240 0

2-

Methylnaphthalene

Stack Exit Method 23 3 240 0

Stack Exit Acenaphthylene** Method 23 3 240 0

Stack Exit Acenaphthene** Method 23 3 240 0

Stack Exit Fluorene** Method 23 3 240 0

Stack Exit Phenanthrene** Method 23 3 240 0

Stack Exit Anthracene** Method 23 3 240 0

Stack Exit Fluoranthene** Method 23 3 240 0

Stack Exit Pyrene** Method 23 3 240 0

Benzo(a)anthracen

e*

Stack Exit Method 23 3 240 0

Stack Exit Chrysene* Method 23 3 240 0

Benzo(b)fluoranth

ene*

Stack Exit Method 23 3 240 0

Benzo(k)fluoranth

ene*

Stack Exit Method 23 3 240 0

Stack Exit Benzo(e)pyrene Method 23 3 240 0

Stack Exit Benzo(a)pyrene* Method 23 3 240 0

Stack Exit Perylene Method 23 3 240 0

Indeno(1,2,3-

cd)pyrene*

Stack Exit Method 23 3 240 0

Dibenzo(a,h)Anthr

acene*

Stack Exit Method 23 3 240 0

Benzo(ghi)perylen

e**

Stack Exit Method 23 3 240 0

Stack Exit Total 7*PAH Method 23 3 240 0

Stack Exit Total 16*/**PAH Method 23 3 240 0

Stack Exit Hydrogen Chloride Method 26A 3 240 0

Stack Exit Hydrogen Fluoride Method 26A 3 240 0

Filterable 

Particulate

OTM - 27/28 3 240 0 Use only for dry stacks. Delete 

Method 5/OTM28 tests.

Stack Exit

Total Particulate OTM - 27/28 3 240 0 Use only for dry stacks. Delete 

Method 5/OTM28 tests.

Stack Exit

Total PM2.5 OTM - 27/28 3 240 0 Use only for dry stacks. Delete 

Method 5/OTM28 tests.

Stack Exit

Organic 

Condensible 

Particulate

OTM - 27/28 3 240 0 Use only for dry stacks. Delete 

Method 5/OTM28 tests.

Stack Exit

Filterable PM2.5 OTM - 27/28 3 240 0 Use only for dry stacks. Delete 

Method 5/OTM28 tests.

Stack Exit

Inorganic 

(Aqueous) 

Condensible Part.

OTM - 27/28 3 240 0 Use only for dry stacks. Delete 

Method 5/OTM28 tests.

Stack Exit

Stack Exit Lead Method 29 3 240 0

Stack Exit Arsenic Method 29 3 240 0

Stack Exit Beryllium Method 29 3 240 0

Stack Exit Antimony Method 29 3 240 0

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7b. Please select the Emissions / Concentrations for each location.

Stack Exit Cadmium Method 29 3 240 0

Stack Exit Chromium Method 29 3 240 0

Stack Exit Cobalt Method 29 3 240 0

Stack Exit Manganese Method 29 3 240 0

Stack Exit Mercury Method 29 3 240 0

Stack Exit Nickel Method 29 3 240 0

Phosphorus 

(yellow or white)

Stack Exit Method 29 3 240 0

Filterable 

Particulate

Stack Exit Method 29 3 240 0

Stack Exit Selenium Method 29 3 240 0

Total Particulate Method 5/OTM-28 3 240 0 Use only for wet stacks. Delete 

OTM27/OTM28 test.

Stack Exit

Organic 

Condensible 

Particulate

Method 5/OTM-28 3 240 0 Use only for wet stacks. Delete 

OTM27/OTM28 test.

Stack Exit

Inorganic 

(Aqueous) 

Condensible Part.

Method 5/OTM-28 3 240 0 Use only for wet stacks. Delete 

OTM27/OTM28 test.

Stack Exit

Filterable 

Particulate

Method 5/OTM-28 3 240 0 Use only for wet stacks. Delete 

OTM27/OTM28 test.

Stack Exit

Stack Exit Sulfur Dioxide Method 6C 3 240 0

Nitrogen oxides 

(NOx)

Stack Exit Method 7E 3 240 0

Test

Method

Emissions /

 Concentrations

Corrected 

Analyte

Corrected

Location Percent

Stack Exit Method 10 lb/hr 0

Stack Exit Method 10 mg/dscm 0

Stack Exit Method 10 mg/dscm corrected O2 7

Stack Exit Method 10 ppm 0

Stack Exit Method 10 ppm corrected O2 7

Stack Exit Method 23 lb/hr 0

Stack Exit Method 23 ng/dscm 0

Stack Exit Method 23 ng/dscm corrected O2 7

Stack Exit Method 26A lb/hr 0

Stack Exit Method 26A mg/dscm 0

Stack Exit Method 26A mg/dscm corrected O2 7

Stack Exit Method 29 lb/hr 0

Stack Exit Method 29 mg/dscm 0

Stack Exit Method 29 mg/dscm corrected O2 7

Stack Exit Method 5/OTM-28 lb/hr 0

Stack Exit Method 5/OTM-28 mg/dscm 0

Stack Exit Method 5/OTM-28 mg/dscm corrected O2 7

Stack Exit Method 6C lb/hr 0

Stack Exit Method 6C mg/dscm 0

Stack Exit Method 6C mg/dscm corrected O2 7

Stack Exit Method 6C ppm 0

Stack Exit Method 6C ppm corrected O2 7

Stack Exit Method 7E lb/hr 0

Stack Exit Method 7E mg/dscm 0

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8. Describe below or attach complete documentation of all modifications and/or deviations to

 the applicable test methods. If alternative methods requested, attach documentation of 

request 

In this section, identify the promulgation date of any specified test method that you use for determining the 

procedures followed. This field is also used to document any modifications that are necessary to conduct the 

emissions test if they are outside the requirements of the cited method. If this modification was approved verbally by 

a regulatory agency, the name and date of approval should be included. Written formal approval should be attached 

to this file using the "Attach File" button. Test procedures that are different from those published in the Federal 

Register should be attached using the "Attach File" button.

9. Does the proposed sampling location meet the minimum EPA Method 1 criteria for 

acceptable 

 measurement sites? Please list below or attach the supporting documentation.

In this section, provide documentation about the compliance of the sampling location to Method 1 criteria AND if the 

site meets these requirements, change the check box to "Yes". If the sampling location does not meet Method 1 

requirements indicate the method used to make the sampling location representative of the emissions from the source.

10. Has absence of cyclonic flow been verified per EPA Method 1 (Section 2.4)? If no,

 absence of cyclonic flow must be verified prior to testing. If yes, please attach

 supporting documentation.

This field is for the documentation of the absence of cyclonic flow that is available at the time of the Test Plan 

generation. If this documentation is not available at this time, documentation is required during the performance of 

the emissions test. If cyclonic flow exists at the testing location describe the procedures used to obtain representative 

samples. If there is an absence of cyclonic flow, check the "Yes" box.

11. Select the method that will determine the oxygen concentration :

13. Has all testing equipment been calibrated within the past year? If no, please 

explain.

It is expected that the response to this question will be "Yes". This highlights the need to attach the documentation of 

the calibrations for all equipment used during the conduct of the emissions test. If all the equipment has been 

calibrated, check the "Yes" box.

Yes No

Yes No

Yes No

Yes No

Yes No

14. Will all calibration gases be certified by EPA Traceability Protocol

 procedures? If No, describe certification procedure below.

15. Is a dilution system (via EPA Method 205) proposed?

Yes No N/A

Yes No N/A

16. If applicable, list the expected calibration gas concentrations for all proposed instrumental

 test methods. Include as much information as is known at this time.

12. Do any of the proposed test methods require analysis of EPA audit samples? If

 yes, notify Regional Office at least 45 days prior to testing to allow for audit

 sample preparation and shipment.

Stack Exit Method 7E mg/dscm corrected O2 7

Stack Exit Method 7E ppm 0

Stack Exit Method 7E ppm corrected O2 7

Stack Exit OTM - 27/28 lb/hr 0

Stack Exit OTM - 27/28 mg/dscm 0

Stack Exit OTM - 27/28 mg/dscm corrected O2 7

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17. What is the proposed test schedule? 

This field is primarily to advise the regulatory authority and facility the dates that emissions testing will be performed 

including any set up dates.

18. Additional comments:

Name:

Title:

Company:

Sign Date:

Name:

Title:

Company:

Sign Date:

Permitted Facility Representative Date Testing Company Representative Date

19. Required Personal Protection Equipment:

This field is primarily to advise the regulatory authority of the type of personal protective equipment that will be 

required for them to use to access the sampling location and any other locations that are associated with the 

performance of the test program. It will also serve to inform the facility of the source testers knowledge of the 

required protective equipment that they will use during the source test program.

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