______ 

OAR Box 1168 

Prepped by Ollie Stewart 

Document Number: 

76) ll-C-5 

Docket Number: 

A-89-10 

Printed 4/29/2008 11:23:19 AM Sheet 76 of 131 
A-89-10 

II-C- 5 

P.2 

iJiLLULJI.fjj)] 

FEB | ^I99f \fl\ 

l £PA AIR POCKET 

Mr. Terry Leonard 

Manager, Environmental Protection 

and Industrial Hygiene 

BASF Wyandotte Corporation 

Post Office Box 457 

Geismar, Louisiana 70734 

Dear Mr. Leonard: 

Thank you for the equipment component screening and bagging data you 

provided to the U. S. Environmental Protection Agency (EPA) for your company's 

phosgene production facility in Geismar, Louisiana, in response to our 

October 21, 1988, letter. The screening and bagging data will enable us to 

calculate equipment component leak frequencies and thereby determine 

relatively high- and low-leak facilities. Additional information is being 

requested to enable us to identify and validate any work practices or 

equipment design specifications that effectively reduce equipment component 

leaks of volatile organic compounds (VOC) and volatile hazardous air 

pollutants (VHAP). For this purpose, EPA requests that you supply the 

information contained in Enclosure 1 for your phosgene production facility in 

Geismar, Louisiana. We are sensitive to the amount of labor required to 

respond to this request and have tried to minimize demands on your time by 

limiting the questionnaire to features important to regulatory development. 

The authority for the EPA's information gathering is included in 

Section 114 of the Clean Air Act (42 U.S.C. 7414). Enclosure 2 contains a 

summary of this authority. If you believe that disclosure of specific pieces 

of information you submit 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 is made concerning the 

information obtained by EPA, it may be made available to the public by EPA 

without further notice (40 CFR Part 2.203, September 1, 1976). Enclosure 3 

summarizes Agency and Emission Standards Division policies and procedures for 

handling privileged information and describes the EPA contractor commitments 

and procedures for use of confidential materials. It is the 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. 
P.3 

The EPA has contracted with Radian Corporation (Contract No. 68-02-4378) 

to obtain information pertinent to this investigation. Thus, as noted in 

Enclosure 4, Radian has been designated by EPA as an authorized representative 

of the Agency. Therefore, Radian has the rights discussed above and in 

Enclosure 2. As a designated representative of the Agency, Radian is subject 

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

and processes entitled to protection as trade secrets. 

If you have any questions regarding this request or need additional 

explanation about our confidentiality procedures, please call 

Mr. David Markwordt of EPA at (919) 541-0837 or Mr. Ed Moretti of Radian at 

(919) 541-9100. If you are unable to provide the information we have 

requested by January 27, 1989, please contact Mr. Markwordt. Thank you for 

your help with this project. 

Sincerely, 

Susan R. Wyatt, Chief 

Chemicals and Petroleum Branch 

Emission Standards Division 

4 Enclosures 

cc: Mr. Gustave Von Bodungen, Louisiana 

Department of Natural Resources 

Mr. William B. Hathaway, EPA Region VI 
P.4 

ENCLOSURE 1 

Enclosure 1 consists of three parts: Enclosures la, lb, and lc. 

Enclosure la requests general plant information. Enclosure lb requests 

information about work practices and equipment design specifications for 

equipment components. Enclosure lc requests general work practices 

information. This information is being requested as a follow-up to the 

screening and bagging data we received from you earlier. With this 

information, we hope to identify and validate any work practices or equipment 

design specifications that may effectively reduce equipment component leaks of 

volatile organic compounds (VOC) and volatile hazardous air pollutants (VHAP). 

Please complete the information sheets for the facility (ies) in your company 

that participated in the screening and bagging survey. 

Mail the completed forms to: 

Ms. Susan R. Wyatt, Chief 

U.S. Environmental Protection Agency 

Chemicals and Petroleum Branch 

Emission Standards Division (MD-13) 

Research Triangle Park, NC 27711 
General Information 

P.5 

ENCLOSURE la 

1. Company Name: 

2. Plant Name: 

3. Plant Address: 

(include city, 

state, and 

postal code) 

4. Plant Contact: 

5. Telephone Number: 
P.6 

ENCLOSURE lb 

Please complete an entire set of Enclosure lb for each process stream 

containing phosgene in your production facility. 

Process Stream Information 

1. Process Stream Identification: 

2. 

3. 

4. 

Pressure, psig: 

Temperature, °F: 

Service: (circle one) 

Gas/Vapor 

Light Liquid (Total vapor pressure > 0.04 psi at 20°C) 

Heavy Liquid (Total vapor pressure < 0.04 psi at 20 C) 

5. Boiling Point, °F: 

6. Are there particulates present in the process stream? (circle one) 

Yes No 

7. Is the process stream corrosive or toxic? (circle one) 

Yes No 

8. Flowrate (gpm or scfm): -

9. Total Number of: 

Gate/Globe Valves: 

Plug/Ball/Butterfly Valves: 

Control Valves: 

Pumps: 

Flanges: 

Compressors: 

a. 

b. 

c. 

d. 

e. 

f. 

g. Relief Valves (Gas/Vapor): 

h. Agitator Seals: 
ENCLOSURE lb . 

VALVES 

Please fil l out enough copies of thi s sheet t o Include al l valves containing phosgene In thi s process stream. An explanation of each column 

titl e follows thi s table . For your convenience, you are welcome t o submit these data on magnetic media (ASCII fil e or Lotus spreadsheet) 

In lie u of these data sheets. 

Company Name Pl ant Location Process Stream ID 

Component 

Identificatio n 

Number 

Approximate Body "Seal less " Valves Information 

Manufacturer Valve Years in Material Size Packing Monitoring Maintenance 

Type Service of (In ) Material Frequency Frequency Average Service Failur e Replacement 

(yr) Construction & Shape Lif e (months) Frequency Frequency 
P.8 

ENCLOSURE lb, Continued 

VALVES 

An explanation of the data to be supplied in the enclosed table for each 

valve containing phosgene is given below. 

o Component Identification 

The identification or sequence number that was used to identify the 

valve in the recent screening and bagging survey. 

o Manufacturer 

Name of the manufacturer of the valve. 

o Valve Type 

Please use the following list and select as many descriptions as 

applicable for each valve. 

GA = Gate SB = Sealed Bellows 

GL = Globe D = Diaphragm 

C = Control P = Pinch 

P = Plug DPP = Double-Packed Plug 

BA = Ball DSP = Diaphragm-Sealed Plug 

BU = Butterfly Other (please specify) 

o Approximate Years in Service 

Answers need not be exact. Five- or ten-year ranges are adequate, 

o Body Material of Construction 

Choose from the following list: 

CI = cast iron 

MI = malleable iron 

B = bronze 

CS = carbon steel 

SS = stainless steel 

A = other alloy 

Other (please specify) 

(continued) 

_________ 
P.9 

ENCLOSURE lb, Continued 

• Size fin) 

Line size (in inches). 

t Packinq Material and Shape 

Please use the following list and select as many descriptions as 

applicable for each valve. 

Material 

F = Flax 

C = Cotton 

DR = Duck and rubber 

R = Rubber 

LM = lead-based metallic 

AM = aluminum-based metallicCM = copper-based metallic 

A = Asbestos 

G = Graphite 

Other (please specify) 

Monitorino Frequency 

Shape 

V = Vee 

S = Square 

Other (please specify) 

Frequency (e.g., weekly, quarterly, annually) with which the valve 

is monitored with a portable hydrocarbon detector. 

Maintenance Frequency 

Frequency with which the valve is maintained. Maintenance may 

include, but is not limited to packing adjustment, packing 

lubrication, packing replacement, bonnet bolt replacement or 

tightening, end plug replacement or tightening, or sealant 

injection. For sealed-bellows, diaphragm, pinch, double-packed 

plug, and diaphragm-sealed plug valves ("sealless" valves), valve 

maintenance may include bellows, diaphragm, packing, or seal 

replacement or repair. 

Failure Frequency 

For "sealless" valves, report how often the "sealless" technology 

(e.g., bellows, diaphragm) fails (no longer acts to prevent 

atmospheric equipment leak emissions). 

Replacement Frequency 

For "sealless" valves, report the frequency with which the bellow(s) 

or diaphragm is replaced. 

(continued) 
ENCLOSURE lb. 

PUMPS 

Please fill out enough copies of this sheet to include all pumps containing phosgene in this process stream. An explanation 

of each column title follows this table. For your convenience, you are welcome to submit these data on magnetic media 

(ASCII file or Lotus spreadsheet) in lieu of these data sheets. 

Company Name Plant Location Process Stream ID 

Component 

Identification 

Number 

Manufacturer Pump Approx. 

Type Years In 

Service 

(yr) 

Dual Mechanical Seal Information 

MonItor i ng Ma 1ntenance 

Frequency Frequency Seal Barrier Flush Average Seal 

Configuration Fluid Fluid Service Life 

(months) 

Failure 

Frequency 
P.11 

ENCLOSURE lb, Continued 

PUMPS 

An explanation of the data to be supplied in the enclosed table for each 

pump containing phosgene is given below. 

o Component Identification 

The identification or sequence number that was used to identify the 

valve for the pump during the recent screening and bagging survey. 

o Manufacturer 

Name of the manufacturer of the pump. 

o Pump Type 

Please use the following list and select as many descriptions as 

applicable for each pump. 

SC = Single-stage centrifugal pump 

CC = Close-coupled pump 

CM = Canned-motor pump 

V = In-line vertical pump 

MC = Multi-stage centrifugal pump 

T = Turbine pump 

PI = Piston pump 

PL = Plunger pump 

D = Diaphragm pump 

J = Jet pump 

E = Electromagnetic pump 

P = Packed pump 

SM = Single-mechanical seal 

DM = Dual mechanical seal 

Approximate Years in Service 

Answers need not be exact. Five- or ten-year ranges are adequate. 

Monitorinq Frequency 

0 

Frequency (e.g., weekly, quarterly, annually) with which the pump is 

monitored with a portable hydrocarbon detector. 

Maintenance Frequency 

Frequency with which the pump is maintained. For pumps with dual 

mechanical seals, maintenance includes inspection of the integrity 

of the seal system. 

(continued) 
P.12 

ENCLOSURE lb, Continued 

Seal Configuration 

Choose from the following list: 

B = Back-to-back 

T = Tandem 

Other (please specify) 

Barrier Fluid 

Choose from the following list: 

W = Water 

0 = Oil 

Other (please specify) 

Flush Fluid 

Choose from the following list: 

W = Water 

Other (please specify) 

Average Seal Service 

For each pump, report the average life (in months) of the seal 

system for each pump. 

Failure Frequency of Seals 

For each pump, report how often the dual mechanical seal system 

fails (no longer acts to prevent atmospheric equipment leak 

emissions). 
P.13 

ENCLOSURE lb, Continued 

FLANGES 

Based on the results of the screening and bagging data, the total 

emissions from all flanges in a process unit appear to be small compared to 

the total emissions from other equipment component inventories. 

In lieu of a table requesting information for each flange in your process 

unit, please provide a general explanation of the equipment design 

specifications or work practices used at your process unit that may reduce VOC 

and VHAP emissions from flanges. We are particularly interested in knowing 

whether the following items may contribute to the low flange emissions: 

Flange Material (e.g., carbon steel, lined pipe); 

Flange Type (e.g., raised face, flat face, lined); 

Pressure Rating; 

Gasket Material (e.g., asbestos, Teflon); 

Gasket Type (e.g., compressed, spiral); 

Shop-fabricated versus field-fabricated piping; 

Leak Repair Procedures. 
P.M 

ENCLOSURE lc 

Work Practices 

General 

1. What is the name plate capacity of the phosgene production facility? 

2. Summarize the number of components in the unit that contain phosgene. 

Gas Valves 

Liquid Valves 

Gas Flanges 

Liquid Flanges 

Pumps 

Compressors 

Open-ended Lines 

Connectors 

Sample Points 

Safety Relief Valves 

Phosgene Chemical Concentration 

<1% 2 to 10% >10% 

3. Summarize the number of components above that are monitored under 

an existing state/federal/local fugitive emissions program. 

Phosgene Chemical Concentration 

<1% 2 to 10% >10% 

Gas Valves 

Liquid Valves 

Gas Flanges 

Liquid Flanges 

Pumps 

Compressors 

Open-ended Lines 

Connectors 

Sample Points 

Safety Relief Valves 

(continued) 

ium 
P.15 

ENCLOSURE lc, Continued 

Monitorinq Programs 

4. Is there a mechanism used that will tell when a leak has occurred even 

though it may not identify the specific piece of equipment leaking (e.g., 

area monitor, strong odor, etc.)? 

Yes No 

If yes, discuss number, location, frequency, etc., and provide a diagram 

if possible. 

5. If a leak is believed to exist, is there a mechanism used to identify the 

specific equipment (e.g., organic analyzer, soap bubbles, etc.)? 

Yes No 

If yes, specify. 

Is a leak inspection program in effect? 

Yes No 

If yes: 

a. How much of the unit is covered under the inspection program? 

A H . 

Components in streams with phosgene greater than % 

Components on critical parts of the unit 

i 

(continued) 
P.16 

ENCLOSURE lc, Continued 

b. During inspection, what is the mechanism used to determine that a 

leak has occurred? 

7. Describe any other special procedures you use to check or prevent leakage 

from: 

a. pumps 

b. valves 

c. flanges and other connectors 

d. open-ended lines * 

e. pressure relief devices 

f. compressors 

g. agitator seals 

Maintenance 

8. Describe the procedure you use to repair equipment when a leak is found. 

9. Is leak repair: 

directed (immediate and successful repair of all leaks) 

undirected (delayed but timely repair of all leaks) 

10. Describe how on-line maintenance is done on equipment that leaks. 

11. If repairs cannot be completed on-line or are unsuccessful, is there a 

plan to shut down a portion of the units for repair? 

Yes No ' 

If yes, describe. 

(continued) 
P.17 

ENCLOSURE lc, Continued 

Process. Desiqn and Equipment Specifications 

12. Was minimization of equipment leaks a factor in process design? 

Yes No 

13. What fraction of the equipment components in the unit are periodically 

inspected for leaks? 

14. What fraction of the equipment components in the unit were leak tested 

before installation? 

15. Describe any other quality control steps aimed at reducing equipment 

leaks taken during construction of the process unit. 

16. Describe any equipment changes that have been made to reduce leaks (i.e., 

use of improved valve packing, replacement of valves with another valve 

type, decrease or elimination of fittings, welding). 
________ 

Enclosure 2 

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 "(a) for the purpose (i) of 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) 

of determining whether any person is in violation of any such standard or 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 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.* Procedures to be used for making confidentiality 

determinations, substantiative 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). 

*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). 

i iiwaiiiiiiiiiiiiiiii min m 
P.19 

Enclosure 2 (continued) 

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 assserts 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. 
P.20 

ENCLOSURE 3 

EPA's Information Gathering Authority Under 

Section 3007 of the Resource Conservation 

and Recovery Act 

The authority to obtain samples and information is provided by Section 

3007 of the Resource Conservation and Recovery Act of 1976, as amended, 42 

U.S.C. 6927 (RCRA). "For the purpose of developing or assisting in the 

development of any regulation," ...and upon request by a duly designated EPA 

officer, Section 3007 authorizes an EPA employee (1) to enter any 

establishment where hazardous wastes are generated, stored, treated, 

transported, disposed of, or handled; (2) to inspect and obtain samples of 

such wastes; (3) to inspect or copy records relating to such waste. If 

requested prior to leaving the premises with the samples, the EPA employee 

shall give a descriptive receipt and a portion of the samples to the 

establishment's agent. A copy of the results of all analyses subsequently 

performed on the samples shall also be furnished to the establishment's agent. 

Information may not be withheld from the Administrator or his authorized 

representative because it is confidential. However, when requested to do so, 

the Administrator is required to consider information to be confidential and 

to treat it accordingly, if disclosure would divulge methods or processes 

entitled to protection as trade secrets. EPA regulations concerning 

confidentiality of business information are contained in 40 CFR Part 2, 

Subpart B (42 Federal Register 36902-36924 (September 1, 1976), as amended by 

43 FR 39997 (September 8, 1978), and 44 FR 17673 (March 23, 1979). These 

regulations provide that a business may, if it desires, assert a business 

confidentiality claim covering part or all of the information furnished to 

EPA. The manner of asserting such claims is specified in 40 CFR 2.203(b). 

Information covered by such a claim will be treated by the Agency in 

accordance with the procedures set forth in the Subpart B regulations. In the 

event that a request is made for release of information covered by a claim of 

confidentiality, or the Agency otherwise decides to make a determination 

whether or not such information is entitled to confidential treatment, notice 

will be provided to the business which furnished the information. No 

information will be disclosed by EPA as to when a claim of confidentiality has 

been made except to the intent and in accordance with 40 CFR Part 2, Subpart 

B. However, if no claim of confidentiality is made when information is 

furnished to EPA, the information may be made available to the public without 

notice to the business. 

Businesses should transmit RCRA Confidential Business Information to EPA 

by registered mail, return receipt requested, in a double envelope. The inner 

envelope should be addressed specifically to the appropriate contact person 

with the following additional wording on the front: "RCRA Confidential 

Business Information To Be Opened by Addressee Only." The outer envelope 

should be addressed to the appropriate contact person without the additional 

wording. 
P.21 

Enclosure 4 

^

i 0

 *"*•* 

_ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

I r9K 7 3 Office of Air Quality Planning and Standards 

\-4&-_6-r 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) 

Radian Corporation 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 standards of performance under 42 

U.S.C. 7411 and national emission standards for hazardous air pollutants under 

42 U.S.C. 7412 under Contract Number 68-02-3816. 

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 methods required under 42 U.S.C. 

7414(a)(1), and sample any emissions which 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: NOV 2 1 1989 

r 

Designation Expires: April 30, 1990 

Gerald A. Emison-^rr-vr 

j Director £ 

Office, of Air Quality Planning 

and Standards 
P.22 

... eo ST,,. Enclosure 5 

UNITED STATES ENVIRONMENTAL PROTECTION AGENC Y 

Office of Air Quality Planning and Standards 

Research Triangle Park, North Carolina 27711 

DESIGNATION OF AUTHORIZED REPRESENTATIVE FOR CLEAN AIR ACT STANDARDS OF 

PERFORMANCE FOR NEW STATIONARY SOURCES (SECTION 111), NATIONAL EMISSION 

STANDARDS FOR HAZARDOUS AIR POLLUTANTS (SECTION 112), AND RESOURCE 

CONSERVATION AND RECOVERY ACT (RCRA) STANDARDS FOR OWNERS AND 

OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, 

AND OISPOSAL FACILITIES (SECTION 3004) 

Research Triangle Institute (RTI) is hereby designated an Authorized 

Representative of the Administrator of the United States Environmental 

Protection Agency for the purpose of assisting, under Contract Number 68-02-

4326, in the development of national emission standards for hazardous air 

pollutants under 42 United States Code (U.S.C.) 7412, standards of performance 

under 42 U.S.C. 7411 and/or air standards for hazardous waste treatment, 

storage, and disposal facilities under 42 U.S.C. 6201. 

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

and the Resource Conservation and Recovery Act (RCRA), 42 U.S.C. 6927. Th@ 

U.S.C. 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; amd 

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

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

any emissions which the owner or operator of such source is required to 

sample. Authority to obtain samples and information also is provided under 

RCRA Section 3007. Section 3007 of RCRA authorizes the Authorized 

Representative (1) to enter any establishment where hazardous wastes are 

generated, stored, treated., transported, disposed of, or handled, (2) to 

inspect and obtain samples of such waste, (3) to inspect or copy records 

relating to such waste. 

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), as amended by 43 FR 39997 

(September 8, 1978), and 44 FR 17637 (March 23, 1979). 

Date: NOV 2 4 1989 

Designation Expires: July 31, 1992 

.Gerald A. Emison 

Director 

Office of Air Quality Planning 

and Standards 

ti-mm 
Enclosure 6 

U. S. Environmental Protection Agency 

Office of Air Quality Planning and Standards (OAQPS) 

Emission Standards Division (ESD) 

January 1989 

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 Applicable 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 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. 

 
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 information, records, or reports, 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 record, 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 the U. S. EPA, including data obtained under 

Section 11^4 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; 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). 

i 

i 

;______ 
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 A1r Act," which was designed to meet the requirement 

of 40 CFR Part 2 discussed above. 

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 material will 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 Section 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. 
P.26 

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. 

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 Records when 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-authorized personnel. 

Storage procedures for 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 signed receipt to the DCO. 

d. Access to Confidential Business Information 

Only authorized EPA employees may open and distribute CBI. 

Only employees who require and are authorized access to 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. 

Txsa 
The CBI files are controlled by the 00, 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 official duties. 

The ESD Branch 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 CBI access 

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

access 1,1st 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, 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 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 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. 

i H 
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. 

f. Handling of Other Information 

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

representatives are not normally circulated outside EPA for comments 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, 

it 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 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, all information received by EPA or its authorized 

representative during the visit or test. The report may be prepared by either 

L ______ 
EPA or Its authorized representative. The draft of that report 1s clearly 

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

Determination." 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 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 of the report, as marked by the responsible plant 

official, is received by EPA, information designated confidential 1s placed in 

the CBI files as described above. The original draft of the trip report 1s 

edited to delete the confidential information and to accommodate technical 

changes, and the trip report is issued. 

2 Attachments 

mm in in _______iiinii" • .._-_---.-_•-_.- --...._._.___ 
Attachment A 

P.3CL 

CM eONFIBIWTIAL ©Ui.8N§§§. INFORMATION 

CONTROL ^ie®§(§) 

OATiRgCEIVfB: BESPONSIQlg §8ANCH: 

OATI OP QOCUMgWT: OOCUMgNT AUTHOR: 

COMTBOL NUM968: 

0UeR»TION CMtOVIOINQ OMANIZA riON. TITLg. SUBJgCT, NUMQgi 

OP COPIgg, NUMSgB OP PAGES) 

8gTU8W BATB: 0S8TBUCTIOM BATg: INITIALS: 

BASH P>gPJ8©M WHQ IS QlVgP, ACCB88 TO TH.a B nr,. M r».» M1rr f Rr , ' ' 

€H(_l<gK=®(y)T 

JJfi^MUML MIR. 

PILL IM THG INPORMATIOW BGLQW. 

OHg@&-|M 

__WqWATUBB _B£Xf 

©@ NOT 9ITA€H 

CAA Perm t 

8 6 JAN 1989 
P.31 

Attachment B 

AUTHORIZATION POR ACCESS TO CAA CBI FOR EPA CONTRACTOR EMPLOYEES 

PULL NAME 

SSN 

POSITION 

CONTRACTOR 

It Is tho responsibility of oaeh Authorizing Official to snsurs that tho ompioyoos undsr his/hsr 

supervision who rsqulro aeeoss to CAA CBI: 

1. Sign tho Confidentiality Agreement for EPA Contractor Employees 

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

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

SIGNATURE OP AUTHORIZING OFFICIAL TELEPHONE NO. OATE 

TITLE LOCATION 

II. CONFIDENTIALITY AGREEMENT FOR EPA CONTRACTOR EMPLOYEES 

I understand that I wilt have aeeess to esrtain Confidential Business Information submlttod to 

EPA or its authorized repressntatlves under the Clean Air Aet (CAA). 

This aeeoss Is grantsd In aeeordanee with my official duties as an smployee of an Envlronmsntal 

Protection Agency contractor. 

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

regulations. I understand that I may face criminal prosscution if | willfully dlselose CBI to any 

person not authorized to receive It. in addition, I understand that I may be subjsct 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. 

SIGNATURI TELEPHONE NO. OATE 

III. HAVING COMPLETEO REOUIRED TRAINING ANO PASSED REQUIRED TEST, THE ABO -/EiNAMEO 

EMPLOYEE IS HEREBY AUTHORIZED TO HAVE ACCESS TO CAA CBI. 

SIGNATURE CBI COCO TELEPHONE NO. OATE 

CAA FORM 2 

2 8. JAN 1989 
P.32 

Identical letters were sent to the following addresses with changes as noted: 

Ms. Sherrie L. Arnold 

Dow Chemical Clearing House 

2030 Dow Center 

Midland, Michigan 48640 

Paragraph 1, line 2: production facility in Geismer, Louisiana, changed to 

production facilities in Freeport and LaPorte, Texas, 

cc: Texas Air Control Board, EPA Region VI 

Mr. Thomas A. Kittleman 

E. I. duPort de Nemours and Company 

Louviers Building 

Wilmington, Delaware 19898 

Paragraph 1, line 2: Geismer, Louisiana, changed to Deepwater, New Jersey 

cc: EPA Region II, New Jersey Bureau of Air Pollution Control 

Mr. Forrest GiImore 

Mobay Corporation 

Post Office Box 500 

New Martinsville, West Virginia 26155 

Paragraph 1, line 2: production facility in Geismer, Louisiana, changed to 

production facilities in New Martinsville, West Virginia, and Baytown, Texas 

cc: EPA Regions III and VI, West Virgiaia Air Pollution Control Commission, 

Texas Air Control Board, Mobay Baytown Plant, and Mobay New Martinsville Plant 

Mr. Stan Ray 

Rubican, Incorporated 

Post Office 517 

Geismer, Louisiana 70734 

Mr. Robert F. Hoffman 

ICI America, Incorporated 

Mantra Grove Road 

West Deptford, New Jersey 08086 

Paragraph 1, line 3: production facility in Geismer, Louisiana, changed to 

production facilities in Cold Creek, Alabama, and St. Gabriel, Louisiana 

cc: Louisiana Department of Natural Resources, Alabama Department of 

Environmental Management, EPA Regions IV and VI 

Mr. W. B. Graybill 

PPG Industries, Incorporated 

1 PPG Place 

Pittsburgh, Pennsylvania 15272 

Paragraph 1, line 1: production facility in Geismer, Louisiana, changed to 

production facilities in Barberton, Ohio, and LaPorte, Texas 

cc: Texas Air Control Board, EPA Regions V and VI, Ohio EPA 

RegNeg.Arn 

dkd.OOl 

________• 
P.33 

Mr. R. A. Campbell 

Olin Chemicals 

Post Office Box 2896 

Lake Charles, Louisiana 70602 

Paragraph 1, line 3: Geismer, Louisiana changed to Lake Charles, Louisiana 

Mr. Matthew Barmasse 

Van De Mark Chemical Company, Incorporated 

1 North Transit Road 

Lockport, New York 14094 

Paragraph 1, line 3: Geismer, Louisiana changed to Lockport, New York 

cc: New York Department of Environmental Conservation, EPA Region II 

RegNeg.Arn 

dkd.001