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OAR Box 1500 

Prepped by Ollie Stewart 

Document Number: 

38) ll-C-64 

Docket Number: 

A-94-52 

Printed 8/5/2008 1:51:28 PM Sheet 38 of 343 
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>y * UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

| ^jgj ^ | RESEARCH TRIANGLE PARK, NC 27711 

\m*S 

OITICE OF 

I.., , _ - AIR DUALLY PLANNING 

MA/ S 1997 ______AN b STANDARDS 

Ms. Hilary North -

 — 

LASCO Panel Products r.rr 2 ? \9'$ 

8015 Dixon Drive I >u' "" 

Florence, Kentucky 41042 \ ^~ A A I H DOCKET 

Dear Ms. North: 

This is to confirm the visit by Madeleine Strum ofthe U.S. Environmental Protection 

Agency (EPA) to LASCO Panel Products on May 19 and 20,1997. The purpose of this visit is 

to observe and .assist with the source test activities for those two days. Solomon Ricks, EPA, and 

EPA contractors from Pacific Environmental Services (PES) will be at your facility beginning 

May 12,1997. The remainder of this letter reviews site visit information and procedures which 

were sent to you on August 30,1996, prior to the EPA's initio visit to your facility on 

September 11,1996. 

The authority for the EPA's information gathering is included in Section 114 of the Clean 

Air Act (CAA) (42 U.S.C. 7414). Enclosure 1 contains a summary of this authority. If you 

believe that disclosure ofthe infonnation we request would reveal a trade secret, you should 

clearly identify such information as discussed in Enclosure 1. 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 2.2043, 

September 1,1976). Because Section 114(c) of the CAA exempts emissions data from claims of 

confidentiality, the emissions data you provide may be made available to the public. A 

clarification of what the EPA considers emissions data is contained in Enclosure 2. 

As noted in Enclosure 3, we have designated PES as an authorized representative ofthe 

EPA. Therefore, PES has the rights discussed above md in Enclosure 1. As an authorized 

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

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

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

Enclosure 4 summarizes the EPA's policies «ind procedures for lrandling privileged 

information and describes the EPA contractor commitments .ind procedures for use of 

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

i^teycMffteyclabla .Printed wtth vegetable Oil Based Inks on 100% Ftecyded Paper (40% Postconsumer) 
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with the requirements .detailed in Enclosure 3 provides sufficient protection for the rights of 

submitters of privileged infonnation. 

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

«4» 

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

compensation coverage from the Government under the Federal Employees Compensation Act 

(5 U.S.C. 8108 et seq.). 

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

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

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 refusal, please contact the EPA's 

Office of General Counsel and Infonnation Law Division at (202) 260-0020. 

If there are any questions regarding this confirmation, please contact Madeleine Strum of 

my staff at (919) 541-2383. 

Sincerely, 

Linda S. Herring 

Group Leader 

Coatings and Consumer Products Group 

4 Enclosures 

a-
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ENCLOSURE 1 

EPA's Infonnation Gathering Authority 

Under Section 114 of the 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 listing 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, condua 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 mat 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 fbr 

making confidentiality determinations, substantive criteria to be used in such detenninations, and special rules 

governing information obtained under Section 114 are set forth in 40 CFR Part 2 published in the Eedsral 

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 ofthe 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 detenninations, or reference to it, if available; and 

' ' 4. Whether your company asserts that disclosure ofthe 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 ofthe causal relationship between disclosure and 

such harmful effects. 

""Section 114 requires public avaiability of all emission data and authorizes diclosure of confidential 

information in certain circumstances. See 40 FR 36902 - 36912 (September I, 1976) 

3 (Rev. 12/8/95) 
LHV.LU^ut w ._ 

~'Mji Federal Register / V0l. 56. So. 35 / Thuracidy.. February Zl. 1991 / Ncucea 

Dated: February 1*. 1991. 

Paul LapsWy, 

Director. Re^vlatory Management Division. 

[FR Doc 9i-tii3 Filed 2-ZO-91:8:45 ami 

•41XIMQ COOC H4Q-O.K 

tAD-FaL-3008-31 

Disclosure of Emission Data Claimed 

as Confidential Under Sections 110 

and 114(c) o( 3w Clean Air Act 

AGENCY: Environmental Protection 

Agency (EPA). 

Acnoic Notice of policy an public 

release of certain emission data 

submitted under sections 110 and 114(c) 

of the Qean Air Act (CAA). 

suMMAjm Section 114(c) of the CAA 

excludes emission data from the general 

definition of trade secret information. 

Certain classes of dau submitted to the 

EPA under sections UO u d 114(a) of the 

CAA are emission data. and. aa such, 

cannnot be withheld from disclosure as 

confidential pursuit to section 1905 of 

title 18 of the United States Code. Thia 

notice clarifies EPA's current policy, and 

solicits comment regarding that policy 

and categories of data which it 

considers excluded from a trade eacret 

definition. 

DATES: Written comments pertaining to 

this nonce are requested by April 22. 

1991. 

Aaofusaxx Submit comments tot Nancy 

0. Riley. US. Environmental Protection 

Agency. Emission Standards Division. 

Pollutant Assessment Branch (MD-43), 

Research Triangle Park. NC 27711. 

FO« fwrmcx iNramtATioM CONTACT: 

Timothy Mohin (telephone: (919) 541-

S349 commercial/FTS 629-5349) or 

Karen Bianchard (telephone: (919) 541-

5503 commercial/FTS 629-5503). 

Pollutant Assessment Branch (MD-13). 

Emission Standards Division: or Thomas 

Rosendahl (telephone: (919) 541-5404 

commercial/FTS 629-5404), National Air 

Dau Branch (MD-U). Technical 

Support Division: U.S. Environmental 

Protection Agency. Research Triangle 

Park. North Carolina 27711. 

SUPPLEMENT AMY INPOmtATiOIC The EPA 

routinely uses the authority of sections 

110 and 114(a) of the CAA to gather 

technical infonnation 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 

pcier.t-.dl regulation. 

information requests under sections 

I'.O ar.d 114(a) cf the CAA typically 

i.i.-'.ui: questions on uncontrolled and 

controlled emission ratea 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: "* * * 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 haa access .under thia 

section if made public, would divulge 

methods or processes entitled to 

protection as trade secrets of such 

person, me Administrator shall consider 

such * * * confidential in accordance 

with tbe purposes of section 190S of title 

18 of the United State* Code * • V If 

the Administrator so determines, the 

information is not disdoaahle to me 

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 w 

confidentiaL Although typically the &A 

evaluates whether information 

constitutes emission data aa a case-bycase basis, it believes that some kinds of 

data will always constitute emission 

data within the meaning of section 

114(c). The purpose of thia notice ia 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 UO (as sot forth in 40 

CFR 51J21.5U22 and 5U23) ofthe 

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 computerbased 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 

CFRi301(a)(2)(i): 

a. Definitions. For the purpose of this 

section: (1) Act means the Clean Air 

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

(2)(ij Emission dcta means, widi 

reference to any source of emission of 

any substance into the air— 

(A)lnformation necessary to 

determine the identity, amount, 

frequency, concentration, or other 

characteristics (to the extent 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 tha source to 

the extent necessary to identify the 

source and to distinguish it from other 

sources (induding, to the extent 

necessary for such purposes, a 

description of tha device, installation, or 

operation constituting the source). 

The table below lists tha specific data 

fields which tha EPA presently 

considers to constitute emission data 

and provides a brief description of what 

each data field describes. Tha 

descriptions ara intended to provide 

general information. This list ia not 

exhaustive and. therefore, other data; 

might be found in a proper case, to 

constitute emission data. 

___moa Data FWds 

Faculty Identification: Tht following dau 

fields are tueded to establish the Identity and 

locatioa of taussicn touices. this shall also 

include a aescripflon er an identifier of the 

device, installation, or operation constituting 

the source. Thaae <iata w used to locate 

sourest for disptrsioo evaluation and 

exposure tnndeHrn 

Plant Name aad telatad point Identifiers 

Address 

City 

County 

AQCS (Air Quality Control Rtgioa) 

MSA PMSA. CMSA (Metropolitan Statistical 

Areas) 

Stats 

Zip Coot 

Ownership tad point af contact information 

Locaaonul Identifiers: 

Utitute * Uauptndt. or UTM Grid 

Coordiaatat 

SIC (Standard industrial Classification) 

Emission point device or operation 

description, information 

SCC (Source CUsaificauon Codear 

Emissions Parameter*: Tht following dau 

fields are netded to utabliah tht 

characteristics of tht emission*. This 

information ia natdad (or tht analyst* of 

dispersloa and potential control equipment. 

Emission typt 

(e.g. nature of emiasion* such a* COi). 

paniculate or a specific toxic compound, 

and origin of emissions such aa process 

. vents, storage tanks or equipment leaksl 

Emission rate 

H 
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Federal Register / VoL 58. No. 35 / Thursday. February 21. 1991 / iNotices 

{e.g.. the amount released to tht 

atmosphere over time such as kg/yr or 

lbs/hr) 

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 iize of th* area associated with 

adjacent iffucrures in square meters and 

terrain descriptions such as 

mountainous, urban, or rural) 

Suck or vent diameter at point of emissions 

(e.g. tht inside diameter of vent at tht 

point of emission to the aatosphefe in 

meterti 

Release velocity 

(*.g. velocity of release in m/sec) 

Release temperature 

(e-g. temperature of release at point of 

t-eieas* ia degrees Kelvin) 

Frequency ei reuse* 

(ej. how often a release occurs in events 

per year) 

Duration .of release 

(e-g. tht time associated with a release ta 

tht atmosphere) 

Concentration 

(e.g. the amount of aa emission stream 

constituent relative to other stream 

constituents expressed as parts per 

million (ppm). volume percent or weight 

percent) 

Density of th* emissions stream or average 

molecular weight 

(e.s> density expressed as fractioa or 

multiple ef die density of ain molecular 

weight in glg-taaia) 

Boiler or process design capacity 

(e^_ the gross betting vaiitt of fuel input to 

a boiler at IU maBranm design rate) 

Emission estimation method 

(e.g. the method by which aa emission 

estimate has been calculated such aa 

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

Percent space beat 

(e.g. the percent of fuel used for apace 

heating) 

Hcuriy maximum design rate: 

(e.g. the greatest operating rate dut would 

, be expected for a source ia a l-hour 

^ penod) 

The EPA has determined that these 

data are emission data and releasable 

upon request This determination 

applies to data currently held by EPA as 

we:! as to information submitted to EPA 

in the future. Future requests for 

information ur.der sections 110 and 114 

of the CAA will indicate that these 

emission data will not be held 

confidential. This determination applies 

or.iy to the data listed in the table. 

Deter—:nations will continue to be ir.sds 

cn a case-by-case basis for data not 

cpecuied in thia generic determination. 

After consideration of comments on 

th:: p:iicy. a revised policy/ 

ce!e.Tr.:.-.i::on .T.ay be published. 

Dated: February 8.1991. 

iVuchsnt Shtapira. 

Acting Assistant Administrator for Air and 

Radiation. 

(FR Doc. 91-4114 Filed 2-3>-91: 8:43 am| 

euxiMO coo* iss* ic is 

CCPP-2O00CCA; FRL-0a79-4] 

Request for Proposals; Research and 

Development on Antimicrobial Teat 

Methodology and Statistical Support 

on Exporimontal Oesign and Data 

Anatysua; Extension of Proposal 

Deadline 

ACDiCr. Environmental Protection 

Agency (EPA). 

ACTIOSC Extension of proposal deadline. 

SUMMAWY: This notice announces the 

extension of deadline for a Request for 

Proposal that published in the Federal 

Register of December 6.199a The 

Request for Proposal was published to 

solicit proposals which will result in 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 the 

experimental designs of projects tad to 

analyze results from on-going test 

methodology research were also 

aoiidted 

DATES: The new deadline for proposal 

submission to the Agency is February 

2 a 1991. 

ADDRESSES The original and eight 

copies must be sent to: Grams 

Operations Branch (PM-216F). 

Environmental Protection Agency. 401M 

SU SW. Washington. OC 2046a One 

copy of the original must be sent to: 

Susan Parker. Registration Division 

(H750SQ. Environmental F'rotiiction 

Agency. 401M St. SW. 2046a 

Application Kits may be obtained from: 

Grants Operations Branch (PM-Z16F). 

Environmental Protection Agency. 401 M 

SU SW. Washington. DC 29460. or call: 

(202) 382-5260. 

>OB fUlVTHE* INTORMATJON CONTACT: 

Susan Parker. Registration Division 

(H7505C). Environmental Protection 

Agency. 401 M S u SW. Washington. DC 

20-l6a Phone number (703) 557-2141. 

SUPPtEMEMTAAY INFORMATION: EPA 

issued a Request for Proposal in the 

Federal Register of December 9.1990 (25 

FR 503E3). The original submission 

deadline was January 3a 1991: the new 

deadline for proposal submission is 

extended :a February 23. 19S"». 

Dated; February li. 1991. 

Douglas 0. Campt 

Director. Office of Pesticide Programs. 

(FR Doc. 91-413} Hied 2-20-91: S:*S am) 

BILUMO COOC It 

[OPP-180841; FHL-M77-4] 

Emergency Eaempttona 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTJOIC Notice. 

WMMAJTY: 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 crisia 

exemptions were Initiated, two by die 

• Florida Department of Consumer 

Services aad two by the United States 

Department of Agriculture. These 

exemptions. Issued during the mondis of 

November and December, except far the 

one in October, are subject to 

application and timing restrictions and 

reporting requiremento designed to 

protect the environment to the maximum 

extent possible. Information on these 

restrictions is available from the contact 

persons in EPA listed below. 

DATES: See each specific and crisis 

exemption for its effective date. 

RM PUStTHEft UiTOMfjUTtON CONTACT: 

See each emergency exemption for die 

name of die contact person. The 

following information applies to all 

contact persona: By mail: Registration 

Division (H7505Q. Office of Pesticide 

Programs. Environmental Protection 

Agency. 401M SU SW. Washington. DC 

20460. Office location and telephone 

number: Rm. 71& CM *2.1921 Jefferson 

Davis Highway. Ariington. VA (703-

557-1806). 

SUPfUMEMTAjrv INTCRMATlOfC EPA has 

granted specific exemptions to the: 

1. Califomia Department of Food and 

Agriculture for the use of chlorothalonil 

on mushrooms to control vertidllium 

diseases: November 14.1990. to 

November 13.1991. (Susan Stanton) 

2. Califomia 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 

Agricu!:ure for the use of methyl 

bromide on carrots to control 

nematodes: December 21.1990. to 

December 2d. 1991. (Libby Pemberton) 

4. Idaho Department of Agriculture for 

the use of per.dirceihalir. on spearr.int 

ana peppermint to control kechu and 

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^f\ciosu(*t 3 

*" -Tm \ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

| ^S? 7 » RESEARCH TRIANGLE PARK. NC 27711 

"t (wo'*0 

OFFICE OF 

AIH QUAUTY PLANNING 

ANO STANDARDS 

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 (proposed subcontractor) are hereby designated an 

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 under 42 U.S.C. 7411, 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) (1), and sample any emissions 

that the owner or operator of such source is required to sample. 

Authorized Representatives of the Administrator are 

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

confidentiality of methods or processes entitled to protection as 

trade secrets, as implemented by 40 CFR 2.301 (h) (41 FR 36912, 

September 1, 1976). 

Date: 

Designation Expires: September 30, 1997 

Director 

Office of Air Quality Planning 

and Standards 
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ENCLOSURE 4 

^to sr,r 

S 4 ^ * UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

| »MR « 1 Office of Air Quality Planning and Standards 

\ ^Vl^ - / Research Triangle Park. North Carolina 27711 

'*, ,** 

41 •°ott

 December 1995 

Summary of OAQPS 

Procedures for Safeguarding Clean Air Act (CAA) 

Confidential Business Information (CBI) 

1. Purpose 

This memorandum descnbes 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 Information. 

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

d. Clean Air Act Confidential Business Information Security Manual (June 1995 

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 subjea. 

4 Pefm'tion; 

Confidential Business Information - Infonnation claimed by the provider to be 

confidential. This infonnation 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 marldngs should 

not be confused with the classification markings of National Security information identified in 

Executive Order 11652. 

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5. Background 

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

"Any records, repons, or information obtained under subsection (a) shall be 

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

Administrator by any person that records, reports, or information, or particular 

part thereof, (other than emission data) to which the Administrator has access 

under this section if made public, would divulge methods or processes entitled to 

protection as trade secrets of such person, the Administrator shall consider such 

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 infonnation may be disclosed to other 

officers, employees, or authorized representatives ofthe United States concerned 

with canying out this Act or when relevant in any proceeding under this Aa." 

The treatment of CBI by the U.S. EPA, including data obtained under Section 114 ofthe 

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 4assert a claim of confidentiality covering part or all ofthe information, 

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

submission, ln addition, the regulations: (1) set forth procedures for the s^eguarding of -

confidentid 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 Aa (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 Direaor. The request includes standard enclosure "EPA's Information Gathering _ 

Authority Under Seaion 114 ofthe Clean Air Aa," which was designed to meet the requirement 

of 40 CFR Pan 2 discussed above. 

b. Receipt of CAA Confidential Business Information 

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

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

1 
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permanent file. If confidential treatment is requested, but is not specifically marked, the material 

will be stamped "Subjea 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 infonnation is clearly nqt confidential, the Group 

Leader prepares a letter for signature ofthe Division Direaor, 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 correa ESD projea 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 

information (Attachment 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 infonnation 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 Information 

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 effeaively maintain normal 

business operations. Records ofthe locking device combination are stored elsewhere in 

conformance withthe requirements ofthe. EPA Security 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 subjea to compromise. 

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

receive the information. AlKconfidenti^ 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. 

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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 zn authorized representative of EPA (see Seaion 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 .ire 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 .ire controlled by the OD, ESD, and managed by an authorized federal 

employee. Access to the information 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 Aa CBI access list, which indicates the "specific" CBI each person is permitted to 

see. The Access List is reviewed and updated periodically. 

Companies under contraa to perform work for the EPA may be designated authorized 

representatives of EPA if such designation is necessary in order for the contraaor to carry out the 

* work required by the contraa. As authorized representatives, contraaors may be granted access 

to CAA CBI by the Direaor, ESD. The following conditions apply when it has been detennined 

that disclosure is necessary: 

(1) The contraaor designated as a representative and its employees (ajmay 

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 affeaed business or ofan EPA legal office, and (c) must 

return to EPA all copies ofthe information (and any abstraas or excerpts therefrom) upon 

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

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P.12 

(2) The authorized contraaor designated as a representative must 

obtain a written agreement from each of its employees who will have access to the informatioiL A 

copy of each employee agreement (Attachment B) must be furnished to EPA before access is 

permitted. 

(3) The contraaor designated as an authorized representative must 

agree that the conditions in the contraa concerning the use and disclosure of CAA CBI are 

included for the benefit of, and shall be enforceable by, both EPA and any affeaed 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 ofthe Direaor, 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 Infonnation Aa 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 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 infonnation 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 

! ! 
P.13 

industrial-data-gathering visits, plant inspeaions, and source testing can involve inadvertent 

receipt of CAA CBL, it is the policy of OAQPS to protea 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 proteaed. A copy ofthis 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 infonnation received by EPA or its authorized representative during the visit or test The 

report may be prepared by either EPA or its autiiorized representative. The draft of that report is 

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

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 information and to 

accommodate technical changes, and the trip report is issued. 

2 Attachments 

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P.14 

Attachment A 

CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD 

DATE RECEIVED: 

DATE OF DOCUiMENT: 

RESPONSIBLE BRANCH: CONTROL NUMBER: 

DOCUMENT AUTHOR: 

DESGUPTION (Providing organizanon, dtle, subject, number of copies and number of pages) 

RETURN DATE: DESTRUCTION DATE: INITIALS: 

Each person given aeeess• tathadocumaamtta '• 

CHECK-OUT 

SIGNATURE 

i ii 

DATE TIME 

CHECK-IN 

SIGNATURE DATE TIME 

CAA CBI Form 1 (Rev. 6/95) 

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P.15 

Attachment B 

1. AUTHORIZATION FOR ACCESS TO CAA CBI FOR CONTRACTOR EMPLOYEES 

FULL NAME 

SSN 

POSITION 

CONTRACTOR 

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 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 

TELEPHONE NO. DATE 

LOCATION 

H. COWFTOENTIALrry AGREEMENT FOR CONTRACTOR EMPLOYEES 

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

its authorized representatives under the Clean Air A a (CAA). This access is granted in accordance 

with my official duties as an employee ofthe Environmental Protection Agency contractor. 

I understand that CAA CBI may not t>e disclosed except as authorized by 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 diat I may be subject to disciplinary action for violation of this agreement with penalties 

ranging up to and including dismissal. 

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

procedures set forth in die CAA Confidential Business Information Security Manual. 

I have read and understand these procedures. 

SIGNATURE - TELEPHONENO. DATE 

UL HAVING COMPLETE REQUIRED TRAINING AND PASSED REQUIRED 

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

ACCESS TO CAA CBIV 

SIGNATURE CONTRACTOR/DCO TELEPHONE NO. 

-

DATE 

" Must be Contractor iVtanagement 

CAA CBI Form 3 (Rev. 6/95) 

4