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OAR Box 1500 

Prepped by Ollie Stewart 

Document Number: 

58) ll-C-84 

Docket Number: 

A-94-52 

Printed 8/5/2008 1:51:29 PM Sheet 58 of 343 
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$ A \ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

| ^ff^ | RESEARCH TRIANGLE PARK, NC 27711 

A 94 52 

•OF 

n m 4 4 i-.~- ^^ ^ win uu«u i f PLANNING 

DEC I | I997 ^ ^ XANDITANDARDS 

Mr. Terry McQuarrie 

Gl«3sforms, Inc. 

271 B4arnard Avenue 

San Jose, CaJifornia 95125 

Dear Mr. McQuarrie: 

This letter is to confirm a visit to the Glasforms, Inc. facility located in Birmingham, 

Alabama by representatives ofthe U.S. Environmental Protection Agency (EPA) on Thursday, 

January 15, 1997. Visitors will include Ms. Melanie Proctor and Mr. Robert Jemison of Pacific 

Environmental Services, Inc. (PES). The visit was discussed during a telephone conversation 

between you and Ms. Proctor on December 3, 1997. 

As you know, the EPA is required by law to develop nationd emission st<indards for 

hazardous air pollutants (HAP) for reinforced plastic composites production under Section 112 of 

the Clean Air Act (CAA), as amended November 1990. As part of this activity, we have been 

gathering information on composites processes and associated air pollution control measures for 

some time. Due to the wet area enclosures present at your Birmingham and San Jose facilities, 

your company may be of great importance for determining maximum achievable control 

technology (MACT) for pultrusion processes with regard to existing sources. A visit to your 

facility would allow us to determine if industry's proposed wet area enclosure definition 

accurately describes your wet area enclosures, which may be used as a basis for the existing 

source MACT floor for pultrusion. As discussed during the October 27, 1997 meeting, the EPA 

is interested in verifying all clearances and openings specified in the industry definition ofthe wet 

area enclosure. 

The types of information we would like to obtain during the site visit are detailed in 

Enclosure 1 and include the following: 

1. Measurements of clearances for all openings in the wet area enclosures, dimensions of 

the wet area enclosures, and distances from the enclosure to other components ofthe pultrusion 

line. 

2. Cost data for the construction, operation, and maintenance ofthe wet area enclosure. 

Internet Address (URL) • http://www.epa.gov 

Recycled/Recyclable • Printed with Vegetable Oil Based Inks on Recycled Paper (Minimum 25% Postconsumer) 
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3. Annual operating data (resin usage and resin HAP content) for the Birmingham and 

San Jose facilities to update the MACT database. 

4. Information on the various products produced by Glasforms and the line speeds 

associated with each product line. In addition, we would like to obtain data on the line speed that 

was used during the emission test conducted at the San Jose facility. 

5. Data on other emission points at Glasforms including information on mixing and 

cleaning operations. 

Enclosure 1 is an outline ofthe site visit checklist that the EPA and PES will use during 

the site visit. Please note that some questions may be modified as we learn more about your 

operations. 

Most ofthe information on the checklist will be obtained during the discussions at the 

facility. However, some ofthe information may have to be retrieved from your files in advance of 

the visit. We request that you read through the checklist and attempt to provide as much ofthe 

information as possible for the EPA representatives when they arrive at the plant. 

The authority for the EPA's information gathering is included in Section 114 ofthe CAA 

(42 U.S.C. 7414). Enclosure 2 contains a summary of this authority. If you believe that 

disclosure ofthe 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 will be protected under 18 U.S.C. 1905. If no claim of confidentiality 

accompanies the information when it is received by the EPA, it may be made available to the 

public by the EPA without further notice (40 CFR Part 2.203, September 1, 1976). Section 114 

ofthe CAA exempts emissions data from claims of confidentiality and emissions data collected 

may be made available to the public. A clarification of what the EPA considers to be emissions 

data is contained in Enclosure 3. 

As noted in Enclosure 4, we have designated PES as an authorized representative ofthe 

EPA. Therefore, PES has the rights discussed above and in Enclosure 2. As an authorized 

representative ofthe EPA, PES is subject to the provisions of 42 U.S.C. 7414 respecting 

confidentiality of methods or processes entitled to protection as trade secrets. The PES contract 

with the EPA is No. 68-D6-0013. 

Enclosure 5 summarizes the EPA's policies and procedures for handling privileged 

information and describes EPA contractor commitments and procedures for using confidential 

materials. It is the EPA's policy that compliance by an authorized representative with the 

requirements detailed in Enclosure 4 provides sufficient protection for the rights of submitters of 

privileged information. 

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The following policies concerning liability should also be of interest to you: 

1. If a Federal employee is injured in the course of his or her employment, he or she has 

compensation coverage from the Government under the Federal Employees Compensation Act 

(5 U.S.C. 8108, g____i). 

2. If, due to the employee's negligence, property drainage or personal injury to third 

p«arties occurs, the Federal Tort Claim Act (28 U.S.C. 1346) provides a means of fixing any 

liability upon the Federal Government. 

The Office of General Counsel has informed the Agency that a firm may not condition the 

EPA's "right of entry" upon consent to a waiver of liability and has instructed employees not to 

sign such waivers. If you have any questions regarding this refus«al, please contact 

Mr. Adan Schwartz, Office of General Counsel, at (202) 260-7632. 

If you have any questions reg«arding this request, please contact Dr. Madeleine Strum at 

(919)541-2383. 

Sincerely, 

Linda S. Herring 

Group Leader 

Coatings and Consumer Products Group 

5 Enclosures 

cc: Mr. Ron Gore, Director, Air Division, Alabama Department of 

Environmental Management (Enclosure 1 only) 

Mr. Winston A. Smith, Director, Air, Pesticides, £ind 

Toxics M^agement Division, EPA Region IV (Enclosure 1 only) 

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Enclosure 1 

STTE VTSIT - GLASFORMS. INC. 

The EPA is evaluating industry's proposed MACT floor options for existing pultrusion 

facilities. The main purpose of our site visit to Glasforms, Inc. is to compare all clearances, 

openings, and dimensions specified in the wet area enclosure definition that you submitted to 

Dr. Madeleine Strum on November 24, 1997 to the wet area enclosures at your facility. During 

the site visit, we would also like to collect any cost information that you have available on 

installing and maintaining the wet area enclosures. Further, we would like to collect resin usage 

and resin HAP content data for both of your facilities to update the MACT database. 

To help prepare for the site visit we have developed a detailed list that we would like to 

review with you during our visit. We have grouped the information that we would like to cover 

into several major topic areas to help organize the material. 

WET AREA ENCLOSURE 

• Measurements of clearances for all openings in the wet area enclosures 

• Dimensions ofthe wet area enclosures (including surface areas of all faces) 

• Distances from the enclosure to other components ofthe pultrusion line 

COST INFORMATION 

• Capital cost for each wet area enclosure 

• Operating and maintenance costs for each wet area enclosure 

PRODUCTION AND OPERATING DATA 

• Annual resin usage and resin HAP content for the Birmingham and San Jose facilities 

• List of products produced and line speeds associated with each product line (range of 

line speeds and relative quantities of products at each line speed) 

• Line speed used during emission test at the San Jose facility 

OTHER EMISSION POINTS 

• Amounts and types of cleaners used 

• Description ofthe mixing process 
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Enclosure 2 

EPA's Information Gathering Authority 

Under Section 114 ofthe Clean Air Act 

Under Section 114 ofthe 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" Among other 

things, Section 114 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 confidenti«al. 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 infonnation is 

not entitled to confidential treatment.1 Procedures to be used for m.aking 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 

'Section 114 requires public availability of all emission data and authorizes disclosure of confidential 

infonnation in certain circumstances. See 40 FR 36902 - 36912 (September 1, 1976). 

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treatment even though no request for release ofthe 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 infonnation 

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 comply Jisserts that disclosure ofthe information would be likely to result 

in substantia harmful effects on the business' competitive position, md if so, what those 

hiumful effects would be, why they should be viewed as substantial, and an explanation of 

the causal relationship between disclosure and such harmful effects. 
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Enclosure 3 

7042 Federal Register / Vol. 56. No. 35 / Thursday. February 21. 1991 / Notices 

Dated: February It 1991. 

Paul Lapaley, 

Director. Regulatory Management Division. 

[FR Doc 91-4113 Filed 2-20-91: 8:45 am] 

Biuma cooe isu-ts-u 

lAO-fHL-3906-31 

Disclosure of Emission Data Claimed 

as Confidential Under Sections 110 

and I14<e) of tha Ctoan Air Act 

AOJENCY: Environmental Protection 

Agency (EPA). 

ACTION: Notice of policy oa public 

release of certain emiasion data 

submitted under sections UO and 114(c) 

of the Qean Air Act (CAA). 

SUMMARY: Section 114(c) of the CAA 

excludes emission data from the general 

definition of trade secret infonnation. 

Certain classes of data submitted to the 

EPA under sections UO and 114(a) ofthe 

CAA 4ue emission data. and. as such, 

cannnot be withheld from disclosure ts 

confidently pursuant to section 1905 of 

titie 18 of the United States Code. This 

notice dazifies ISPA'a current policy, and 

solicits comment regarding that policy 

and categories of data which it 

•amtiders excluded from a trade secret 

definition. 

OATES Written comments pertaining to 

this notice are requested by April 22, 

1991. 

AOORESSCS: Submit comments to: Nancy 

0. Riley. US. Environmental Protection 

Agency. Emission Standards Division. ' 

Pollutant Assessment Branch (MD-13). 

Research Triangle Park. NC 27711. 

FOR FURTHER INFORMATION CONTACT: 

Timothy Mohin (telephone: (918) 541-

5349 commercial/FTS 629-6349) or 

Karen Blanchard (telephone: (919) 541-

5503 wramercid/rTS 829-6503). 

Pollutant Assessment Branch (MD-13). 

Emission Standards Division: or Thomas 

Rosendahl (telephone: (919) 541-5404 

commercid/FTS 629-5404). National Air 

Data Branch (MD-14). Technical 

Support Division: U.S. Environmental 

Protection Agency. Research Triangle 

Park. North Carolina 27711. 

SUPFtXVEMTARV 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 

sir. Thts information haa 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 ita response 

constitutes trade secret information, and 

thus, should be treated as confidential. 

Claims of confidenti4ility may be made 

under section 114(e) of the CAA. which 

states:"* * "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 if made public, would divulge 

methods or processes entitled to 

protection aa trade secrets of such 

person, the Admmistrator shall consider 

such * * * confidential in accordance 

with the purposes of section 1905 of tide 

18 of the United States Code* * "."If 

the Administrator so determines, die 

information is not disdosable to the 

public. 

However, section 114(e) 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-bycase basis. It believes that some lands of 

data wul always constitute emission 

data within tlie 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 

emissioa data, and which cannot qualify 

as confidential under either section 

114(c) or section 110 (aa set forth in 40 

CFR 51.321.5L322 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 fbr 

confidentiality or requests for 

disclosure. 

The EPA presently determines that 

data submitted to it aa emission data 

does not qualify as confidential If it 

meets ihe following definition under 40 

CFRZ301(a)(2)(i): 

a. Definitions. For.the purpose of thia 

section: (1) Act means the Clean Air 

Act as amended. 42 U.S.C 7401 et seq. 

(2}(l) Emissioa data means, with 

reference to any source of emission of 

any substance into the eir— 

(A) Information necessary to 

determine the identity, amount 

frequency, concentration, or other 

characteristics (to the extent related to 

air quality) of My emission which haa 

been emitted by the source (or of any 

pollutant resulting 60m any emiasion by 

the source), or any combination of die 

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, s description ofthe 

manner or rate of operation of the 

source), or any combination of the 

foregoing: 

(C) A general description of Ihe 

location and/or nature of the source to 

the extent necessary to identify the 

source and to distinguish It from other 

sources (Induding. to the extant 

necessary for such purposes, a 

description of the device. Installation, or 

operation constituting the source). 

The table below lists the specific data 

fields which tha EPA presently 

considers to constitute emission data 

and provides a brief description of what 

each data fiteld describes, Tha 

descriptions ars intended to provide 

general infonnation. This list is not 

exhaustive and. therefore, other data 

might be found, in a proper case, to 

' constitute emission data. 

Emission Oats Raids 

Fadlity Identifteatioa: The following data 

fields ars needed to establish tha Identity and 

location of emission sources, this shall also 

indude a deacription or aa Identifier of the 

device, installation, or operation constituting 

the •ource. These data are uaed to locate 

sources for dispersion evaluation and 

exposure modeling. 

Plant Name and related point idenliflers 

Address 

Qty 

County 

AQCR (Air Quality Consul Raglan) 

MSA. PMSAxCMSA (Metropolitan Statistical 

Areai) 

SUte 

Zip Code 

Ownership and point of contact information 

Loca tional Identifiers: 

Latitats ft Longitude, or UTM Crid 

Coordinates 

SIC (Standard Induatrial CUaaiHcattonl 

Emission paint device or operation 

description, infonnatioo 

SCC (Source aasaificattoa Codaa) 

jtmissions p4uameten: the feilowini data 

fields ara needed to eatabliah the 

characteriatica of UM eatasiaaa. Thia 

Information is needed for ue analyses of 

dispersion and potential control equlptseaL 

Eolation type 

(e.g.. nature ot emUaioos such aa CO,). 

. particulate or a apeciRe toxic compound, 

and origin of emisakma awe- as ptoccaa 

vents, storage tanks or equipment leaks) 

Emission rat* 
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Federal Register / VoL 56. No. 35 / Thursday. February 21, 1991 / Notices 7043 

Jag., the amount released to the 

atmosphere over time such aa kg/yr or 

lbs/hr) * 

Releaae height 

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

pollutant ia emitted to the atmosphere) 

Description of terrain end surrounding 

atructuree 

(e.g., the ilze 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 

(eg., the inside diameter of vent at the 

point of emiasion to the atmosphere ln 

meters) 

Release velocity 

(e.g, velocity of release in m/sec) 

Release temperature 

(e.g, temperature of release at point of 

releaae in degreea Kdvin) 

Frequency of releaae 

(&g, how often a release occurs in events 

per year) 

Duration of release 

(eg, the time associated with a releaae to 

the atmosphere) 

Concentration 

(e.g, the amount of aa emission stream 

conatituent relative to other stream 

constituents expressed as parts per 

million (ppm). volume percent or weight 

percent) 

Density of ti» emissions stream or average 

molecular weight 

(e.g, density expressed as fraction or 

multiple of the density of ain molecular 

weight in g/g-mole) 

Boiler or process design capacity 

(e*. the gross heating value of fuel input to 

a toiler at ita msximnm design rate) 

Emission estimation method 

(e.g, the method by which aa emissioa 

estimate has been calculated such as 

material bjdance. source test use of AP42 emiasion factors, etc) 

tOercent apace heat 

(eg, 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 1-hour 

period) 

The EPA has determined that these 

data are emission data and releasabls 

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 

infonnation under sections 110 and 114 

of the CAA will indicate that these 

emission data will not be held 

confidentiaL Thia determination applies 

only to the data listed in tlie 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 a 1991. 

Mtchatvi Shapiro. 

Artng Assistant Adimnistmtar for Air and 

Radiation. 

[FR Doc. 91-4114 Filed 2-20-01; BAS am) 

BILUNO CODE isao-so-n 

[OPP-2OO0OOA; Htt-3879-41 

Request for Proposals; Research and 

(Development on Antimicrobial Teat 

Methodology and Statistical Support 

on Experimental Design and Data 

Anatyala; Extension of Proposal 

Deadline 

JXOENCY: Environmental Protection 

Agency (EPA). 

ACTION: Extension of proposal deadline. 

SUMMARY: Tills notice Jinnounces the 

extension of deadline for a Request for 

Proposal that published in die Federal 

Register of December 6.1990. The 

Request fbr Proposal wa* published to 

solicit proposals which will result ia the 

development of a reproducible, reliable, 

and statistically valid sporiddal test 

method used to evaluate the efficacy of 

antimicrobial products bearing sterilizer 

or sporiddal claims, in addition, 

proposals for statistical support to 

independently evaluate tiie 

experimental designs of projects and to 

analyze results from on-going test 

methodology research were also 

solidted. 

DATES: The new deadline for proposal 

submission to the Agency is February 

28.1991. 

ADDRESSES: The original and eight 

copies must be sent to: Grants 

Operations Branch (PM-216I7). 

Environmental Protection Agency, 401M 

S t, S W , Washington, DC 204001 One 

copy of tiie original must be sent to: 

Susan Parker. Registration Division • 

(H7505C), Environmental Protection 

Agency, 401M St, SW, 20480. 

Application Kits may be obtained from: 

Grants Operations Branch (PM-218F), 

Environmental Protection Agency. 401M 

S t. SW, Washington. DC 2046a or calk 

(202) 382-5266. 

POR FURTHER INFORMATION CONTACT: 

Susan Parker. Registration Division 

(H7S05C), Environmental Protection 

Agency. 401M St, SW.. Washington. DC 

20460. Phone number (703) 557-2141. 

SUPPLEMENTARY INFORMATION: EPA 

issued a Request for Proposal In the 

Federal Register of December 8,1990 (55 

FR 50388). The original aubmiasion 

deadline waa January 3a 1991: the new 

deadline for proposal submission is 

extended to February 28,1991. 

Dated: Febraary 12.1991. 

Douglaa O. Caospt 

Director. Office of Pesticide Programs. 

[FR Doc. 91-1120 Filed 2-20-91:8:45 am] 

eiujra coot asso-so-s 

[Oi°P-1«0B4i; FRL-3877-6) 

Emergency Exemptions 

Aat^NCY: Environmmtd Protection 

Agency (EPA). 

ACTWic Notice, 

SUMMARY: EPA has granted specific 

exemptions for the control of various 

pests to the seven States as listed below 

and one by the United States 

Department of Agriculture. Four crisis 

exemptions were initiat e two by die 

Florida Department of Consumer 

Services and two by tbe United States 

Department of Agriculture. These 

exemptions. Usued during the months of 

November and December, except for the 

one in October, ara subject to 

application and timing restrictions and 

reporting requirements designed to 

protect the environment to tte maximum 

extent possible. Infonnation on these 

restrictions is available from The contact 

persons in EPA listed below. 

DATES: See each spedfic and crisis 

exemption for its effective date. 

FOR FURTHER INK>RIIATION CONTACT: 

See each emergency exemption for the 

name of ths contact person, The 

following infonnation applies to all 

contact persons: By mail: Registration 

Division (H7505C), Office of Pesticide 

Programs, ltavirounental Protection 

Agency, 401M St, SW, Washington, DC 

20480. Office location and telephone 

number Rm. 718, CM #2.1921 Jefferson 

Davis Highway, Arlington, VA. (703-

557-1806). 

6UPPUEMENTARY MFORMATtQie EPA has 

granted spedfic exemptions to tiie: 

1. California Department of Food and 

Agriculture for the use of chlorothalonil 

on mushrooms to control vertidllium 

diseases; November 14,199a to 

November 13,1991. (Susan Stwton) 

2. California Department of Food and 

Agriculture for the use of avermectin Bi 

on celery to control serpentine 

leafminers: November 19,1990, to 

November 18,1991. (Libby Pemberton) 

3. California Department of Food and 

Agriculture for the use of methyl 

bromide on carrots to control 

nematodes: December 21.1990. to 

December 20.1S91. (Libby Pemberton) 

4. Idaho Department of Agriculture for 

the use of pendimethaHn on spearmint 

and peppermint to control kochla and 

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Enclosure 4 | ^ * i UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

| X^jf f ? . RESEARCH TRIANGLE PARK. NC 27711 

T4-- r V 

$ FP I ? sQCV OFFICE OF 

Ot-r C AIB QUAUTY PLANNING 

ANO STANOARDS 

DESIGNATION OF AUTHORIZED REPRESENTATIVE 

FOR STANDARDS OF PERFORMANCE FOR NEW STATIONARY SOURCES 

(SECTION 111) AND SOLID WASTE COMBUSTION (SECTION 129) , 

NATIONAL EMISSION STANDARDS FOR HAZARDOUS AIR POLLUTANTS 

(SECTION 112), AND FEDERAL OZONE MEASURES (SECTION 183) 

Under contract 68D60013, Pacific Environmental Services (PES) 

(prime contractor) and Alpha-Gamma Technologies, Incorporated 

(subcontractor) are hereby designated Authorized Representatives 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, 

standards of performance for new stationary sources under 42 U.S.C. 

7411, solid waste combusion under 42 U.S.C. 7429, and Federal ozone 

measures under 42 U.S.C. 7511 (b) . 

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 Representatives 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) (l) , 4and 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 

implementedby 40 CFR2.301 (h) (41 FR 36912, September 1, 1976) . 

Date -. 

Designation Expires: September 30, 1998 

Seitz 

)irector 

Office of Air Quality Planning 

and Standards 

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Enclosure 5 

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^ jflfc *. UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

| 4Xsja^ t Office of Air Quality Planning and Standards 

\ •*ytu£-/ Research Triangle Park. North Carolina 27711 

'"P"

0

*° December 1995 

Summary of QAQPS 

Procedures for Safeguarding Clean Air Act (CAA) 

Confidential Business Information (CBI) 

1. Pji£Ufi££ 

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 OAQPS, Office of Air and Radiation, U.S. Environmental Protection 

Agency. 

2. Other Applicable Documents; 

a. Clean Air Act as amended. 

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

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

d. Clean Air Act Confidential Business Information Security Manual (June 199S 

edition). 

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 - 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 infonnation identified in 

Executive Order 11652. 

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S. Background 

Section 114 (c) ofthe 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 infonnation, 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 ofthe United States 

Code, except that such record, report, or information may be disclosed to other 

officers, employees, or authorized representatives ofthe 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 tiie 

Clean Air Act, is governed by Title 40, Part 2, ofthe 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 confidentidity covering part or all ofthe 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 infonnation 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 infonnation and cite penalties for wrongful disclosure. Further, 

tiie regulations contain the Agency's basic rule concerning the treatment of requests for 

infonnation under the Freedom of Information Act (5 U.S.C. 552). 

6. Procedures: 

a. Request for Information 

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

Division Director. The request includes standard enclosure "EPA's Infonnation Gathering 

Authority Under Section 114 ofthe Clean Air Act," which wsa designed to meet the requirement 

of 40 CFR Psut 2 discussed above. 

b. Receipt of CAA Confidential Business Information 

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

Office ofthe Director (OD) dirtjets the logging ofthe material and the establishment of a 

n 
P.13 

permanent file. If confidential treatment is requested, but is not specifically marked, the material 

will be stamped "Subject to Confidentiality Claim." If part ofthe 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 Group Leader 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 clearlyj30i.confidential, the Group 

Leader prepares a letter for signature ofthe Division Director, ESD, to notify the business of this 

finding. If the information is possibly confidential, the Group Leader sends a memorandum to 

inform the OD, ESD, of this finding, gives a brief description ofthe material (what it is, how 

many pages, etc.), identifies it with the conect ESD project number, and lists those persons who 

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

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

infonnation (Attaclunent A) is also filed with the folder containing the information. If CAA 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 CAA Confidential Business Infonnation 

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

minimum, in a combination-locked cabinet. Normal procedure is to secure this information is 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 ofthe OD. 

Knowledge ofthe combinations ofthe locking devices is limited to the Document Control 

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

business operations. Records of the locking device combination are stored elsewhere in 

conformance with the requirements of the EP ASecurity Manual. 

Combinations ofthe locks are normally changed whenever a person with knowledge ofthe 

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 may be returned no later than 4:30 p.m. on the same 

day they are removed. The intended user must sign the CBI Control Record when the file is 

checked out. 

YL 
P.M 

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-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, 

notation is placed in the file indicating what information was transmitted, the date, and the 

recipient. The authorized representative returns a signed receipt ofthe DCO. 

d. Access to CAA Confidential Business Information 

Only authorized EPA employees may open a distribute CAA CBI. 

Only employees who require 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 CBI files are controlled by the OD, ESD, and managed by an authorized federal 

employee. Access to the infonnation is limited to those persons having a need to know in 

performing their official duties. 

The Group Leader having primary interest in the CAA 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 CAA CBI are placed on 

the Clean Air Act CBI access fist, 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 the 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, contractors may be granted access 

to CAA 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 disclosing the information to anyone other than EPA without having received from 

EPA prior written approval of each affected business or ofan EPA legal office, and (c) must 

return to EPA all copies ofthe infonnation (and any abstracts or excerpts therefrom) upon 

request or whenever the information is no longer required for the performance ofthe work. 

13 
P.15 

(2) The authorized contractor designated as a representative must 

obtain a written agreement from each of its employees who will have access to the infonnation. 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. 

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

employees only upon approval ofthe Director, ESD. 

Requests for CAA 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 liandled in accordance with 40 CFR 

2, Subpart A. The Freedom of Infonnation 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. 

0a* 

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 ofthe public domain, except as provided for in 40 CFR 2 

Subpart B. 

The CAA CBI may not be summarized without the approval ofthe 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. 

The EPA generated documents or material, or extracts of information containing 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 above (6.d.3) wherein CBI is expressly included. However, because 

\f 
industrial-data-gathering 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. 

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. 

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

ail 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 ofthat report is 

clearly identified, on an attached, colored cover sheet as "Confidential Pending Determination." 

A second copy ofthe 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 2 weeks of receipt. The original draft is kept in the CBI 

"pending" file until the marked-up copy is returned by the business firm. 

When the reviewed copy ofthe 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 ofthe trip report is edited to delete the confidential infonnation and to 

accommodate technical changes, and the trip report is issued. 

2 Attachments 

15 
P.17 

Attachment A 

CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD 

DATE RECEIVED: 

DATE OF DOCUMl=NT: 

RESPONSIBLE BRANCH: CONTROL NUMBER: 

DOCUM.SNT AUTHOR: 

DESCRIPTION (Providing organization, title, subjea, number of copies and number of pages) 

RETURN DATE: 

-

DESTRUCTION DATE: _ INITIALS: 

Each person given aeeess to this doeument mast fin in the infonnation below 

CHECK-OUT 

SIGNATURE 

. 

| 

1 

1 

1 

I ' i 

| 

] 

DATE TIME 

. 

CHECK-IN 

SIGNATURE 

. 

DATE TIME 

CJKA CBI Form I (Rev. 6/95) 

\(c 
P.18 

Attachment B 

1. AUTHORIZATION FOR ACCESS TO CAA CBI FOR CONTRACTOR EMPLOYEES 

FULL NAME 

SSN 

POSITION 

CONTRACTOR 

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

supervision who require access to CAA CBI: 

1. Sign die Confidentiality Agreement for EPA 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* 

TITLE 

TELEPHONENO. DATE 

LOCATION 

EL CONFIDENTIALITY AGREEMENT FOR CONTRACTOR EMPLOYEES 

1 understand that I will have access to certain Confidential Business Infonnation submitted to EPA or 

its authoix&ed representatives under the Cfean Air Act (CAA). This access is granted in accordance 

widi my official duties as an employee of the Environmental Protection Agency contractor. 

I understand that CAA CBI may not be disclosed except as arthorradty CAA and Agency 

regulations. I understand that I am liable for a possible fine of up to $1,000 and/or imprisonment for 

up to 1 year ifl willfully disclose CAA 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 diat I will treat any CAA CBI furnished to me as confidential and that I will follow die 

procedures set forth in the CAA Confidential Business Infonnation Security Manual. 

I have read and understand diese procedures. 

SIGNATURE TELEPHONENO. DATE 

m . HAVING COMPLETE REQUIRED TRAINING AND PASSED REQUIRED 

TEST, THE ABOVE-NAMED EMPLOYEE IS HEREBY AUTHORIZED TO HAVE 

ACCESS TO CAA CBL 

SIGNATURE CO>TrRACTOR/DCO TELEPHONENO. DATE 

* Must be Contraaor Management 

CAA CBI Form 3 (Rev. 6/95) 

II