p.1 

OAR Box 1168 

.Prepped by Olltit Stewart 

ii 

Document Number: 

77) ll-C-6 

Docket Number: 

A-89-10 

Printed 4/29/2008 Illi23:19AM Sheet 77 of 131 
P.2 

/ A-89-10 II-C-6 

1 ": p ! FEB 141991 |L 

c.m AIR DOCK'31 1 

Mr. L.M. Burright 

Manager, Health, Safety, and Environment 

Shell Chemical Company ^~" 

Post Office Box 500 

Geismar, Louisiana 70734 

Dear Mr. Burright: 

Thank you for the equipment component screening and bagging data you 

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

ethylene oxide 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 ethylene oxide 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. 

I 
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 faci1ity '(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 
P.5 

General Information 

1. Company Name: 

2. Plant Name: 

3. Plant Address: 

(include city, 

state, and 

postal code) 

4. Plant Contact: 

5. Telephone Number: 

ENCLOSURE la 
P.6 

ENCLOSURE lb 

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

containing ethylene oxide in your production facility. 

Process Stream Information 

1. Process Stream Identification: 

2. Pressure, psig: 

3. 

4. 

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: 

a. 

b. 

c. 

d. 

e. 

f. 

g. 

h. 

Gate/Globe Valves: 

Plug/Ball/Butterfly Valves: 

Control Valves: 

Pumps: • 

Flanges: 

Compressors: 

Relief Valves (Gas/Vapor): 

Agitator Seals: 
ENCLOSURE lb. 

VALVES 

Please fill out enough copies of this sheet to Include all valves containing ethylene oxide 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 

Approximate Body "Seal less" Valves Information 

Component Manufacturer Valve Years in Material Size Packing Monitoring Maintenance 

Identification Type Service of (in) Material Frequency Frequency Average Service Failure Replacement 

Number (yr) Construction & Shape Life (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 ethylene oxide is given below. 

• Component Identification 

The identification or sequence number that was used to identify the 

valve in the recent screening and bagging survey. 

• Manufacturer 

Name of the manufacturer of the valve. 

• 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) 

B Approximate Years in Service 

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

• 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 (in) 

Line size (in inches). 

Packing 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 metallic 

CM = copper-based metallic 

A = Asbestos 

G = Graphite 

Other (please specify) 

Monitoring 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 Freouency 

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 fil l out enough copies of thi s sheet t o Include al l pumps containin g ethylene oxide in thi s process stream. An 

explanatio n of each column titl e follow s thi s table . For your convenlencet you are welcome t o submit these data on magnetic 

media (ASCII flieno r Lotus spreadsheet) 1n lie u of these data sheets . 

Company Name Plan t Locatio n Process Stream ID 

Dual Mechanical Seal Informatio n 

Component Manufacturer Pump Approx. Monitorin g Maintenance 

Identificatio n Type Years i n Frequency Frequency Seal Barrie r Flush Average Seal Failur e 

Number Service Configuratio n Flui d Flui d Service Lif e Frequency 

(yr ) (months) 
P.11 

ENCLOSURE lb, Continued 

PUMPS 

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

pump containing ethylene oxide 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 PL = Plunger pump 

CC = Close-coupled pump D = Diaphragm pump 

CM = Canned-motor pump J = Jet pump 

V = In-line vertical pump E = Electromagnetic pump 

MC = Multi-stage centrifugal pump P = Packed pump 

T = Turbine pump SM = Single-mechanical seal 

PI = Piston pump DM = Dual mechanical seal 

o Approximate Years in Service " 

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

o Monitoring Frequency 

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

monitored with a portable hydrocarbon detector. 

o 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) 

SSMB 
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) 

Averaqe 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.14 

ENCLOSURE lc 

Work Practices 

General 

1. What is the name plate capacity of the ethylene oxide production 

facility? 

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

Ethylene Oxide 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 

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

an existing state/federal/local fugitive emissions program. 

Gas Valves 

Liquid Valves 

Gas Flanges 

Liquid Flanges 

Pumps 

Compressors 

Open-ended Lines 

Connectors 

Sample Points 

Safety Relief Valves 

Ethylene Oxide Chemical Concentration 

<1% 2 to 10% >10% 

(continued) 
P.15 

ENCLOSURE lc, Continued 

Monitoring 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. 

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. 

6. Is a leak inspection program in effect? 

Yes No 

If yes: 

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

All 

Components in streams with ethylene oxide greater than % 

Components on critical parts of the unit 

(continued) 
ENCLOSURE lc, Continued 

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

leak has occurred? 

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

from: 

Mai 

a. 

b. 

c. 

d. 

e. 

f. 

gntena 

pumps 

valves 

flanges and other connectors 

open-ended lines 

pressure relief devices 

compressors 

agitator seals 

nee 

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

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 dr 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. Design 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). 
P.18 

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). 

Illl Mi l " ~ — ~ ————————«===^^ m r^.... . •re.^gi 
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. 

Tzm 
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. j 

Businesses should transmit RCRA Confidential Business Information to EPA j 

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. ! 

BiMl 
P.21 

p^= ^ 

Enclosure 4 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

Office of Air Quality Planning and Standards 

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 

i 

Designation Expires: April 30, 1990 

/ 

/ 

Gerald A. Emisorb4s==j 

Director 'I 

- I 

Office of Air Quality Planning 

and Standards 
P.22 

f 

« i O ST4y 

w 

***.**& 

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 

PERFORKANCE FOR NEU 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 DISPOSAL 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 perfomance 

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. The 

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; 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 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 

IW 

,Gerald A. Emison ~ 

Director 

Office of Air Quality Planning 

and Standards 
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 Aoolicable 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. 

Section 114(c) of the Clean A1r 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 114 of the Clean A1r 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). 
6. Procedures: 

a. Requests for Information i 

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

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

includes ESD's standard enclosure "EPA's Information Gathering Authority Under J 

Section 114 of the Clean Air Act," which was designed to meet the requirement ! 

of 40 CFR Part 2 discussed above. 

b. Receipt of Confidential Business Information j 

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 i 

requested, but is not specifically marked, the material will be stamped j 

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

 ! 

confidential, that portion is marked "Subject to Confidentiality Claim." In j 

compliance with Section 2.204 and 2.208 of 40 CFR Part 2, the Branch Chief I 

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 J 

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 I 

lists those persons who are authorized to have access to the information. The 

information and memorandum are hand carried to the 00 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. 

,iiidil 
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 1s 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. 
P.27 

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

contractor cleared for access as an authorized representative. Access to the 

information is limited to those persons having a need to know in performing 

their 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 1s permitted to see. The 

access "* ist 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. 

mm 
P.28 

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 1n 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 
P.29 

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 is 

edited to delete the confidential information and to accommodate technical 

changes, and the trip report is issued. 

2 Attachments 
Attachment A 

P.30 

CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORO 

OATERECEIVEO: RESPONSIBLE BRANCH: CONTROL NUMBER: 

OATE OP OOCUMENT: OOCUMENT AUTHOR: 

DESCRIPTION (PROVIOINO ORGANIZATION, TITLE. SUBJECT, NUMBER OP COPIES. NUMBER OP PAGES) 

RETURN OATE: DESTRUCTION OATE: INITIALS: 

EACH PERSON WHO IS GIVEN ACCESS TO THIS OOCUMENT MUST PILL IN THE INFORMATION BELOW. 

CHECK-OUT CHECK-IN 

SiQNAjgRg PATB JiOJIAIiiRjL -BAIL 

DO NOT DETACH 

CAA Form 1 

I 9 JAN 1989 
P.31 

Attachment B 

I. AUTHORIZATION POB ACCgSS TO CAA CSI FOB IPA C0NTBACT08 iMPLOVII§ 

PUILNAMI 

SSN 

POSITION 

CONTBAGTQB 

It lo tho roopenoi&illty ef oaeh Autherigine Offlelal te onoyro that tho ompleyooo undo? hio/hor 

sugopvloien wh© rogulro oeeooo te CAA egi: 

1. Sign tho eenfldootlollty agpoOraont fef gpa eentraetep graplgyooo 

• 2. APO fully Inf ©praog] roeareUnQ thoir ooeuplty poopenol&llltloo H? eaa 691. 

3. Obtain aeeooo enly te thai€AA CSI roqulpod t@ eopf epm thole ef flelai dutloo 

SIQN&TUBg QP AUYH©8I2!N6 ©PPieiAk TBLBPHOWS m. BflTg 

TITLE LOgATIOK) 

II. €©(WI@gNTIALlTV ae^ggMBNT POB gPfi CQMTBaeTOR gMPL©V8B8 

I undorstand that I will havo aeeooo te eoctain eenfldontlal Buoinooo Infermotlen au&ralttod te 

g^a er Ito autherigod pappooontatlvos undor tho etoon Alp Aet (eaa). 

Thio aeeooo lo grantod In oeeerdaneo with my efflelal dutloo ao an ompieyoo ef an gnvirenraontoi 

Pretoetlen Agoney eeatpaetep. 

I undorotand that eaa CQI may net &o dloeleood oaeopt ao auth@pl80d &y eaa ond Agoney 

roeulatl^no. I undorotand that I may f aeo erlmlnal ppeooeutlen \q \ willfully dloeleao e@l te any 

poroen net autherigod te roeolvo it. In addltlen, I undorstand that I may eo ou&loet t@ 

dloelpllnary aetlen fer vlelotlen ef thio agroomont with ponoltloo rongins up te and ineludlne 

dlsmiooal. 

I agpoo that I will.tpoat any eaa eQl furnlohoete mo ao eenfldontlal and that I will ?e«ew tho 

ereeoduroo sot ferth In tho eAA esnfldontlol Quolnooo inf ©pmatlen Soeurlty Manual fep 

Centpaet©?o. 

I havo roa<3 an<°l un€orotan^ thooo preeodupoo. 

SI6NATUBQ TgkgPHONGNO. BATg 

III. HAVING COMPLgTga SgQUiagg TWINING AN@ PA88SB BgQUlBgg TgST. TMg ASQ rfg-NAMgG 

gwp uevgg i§ MgBgev auTMomggg T© MAvg Aecgss T© eaa 691. 

SIGNATURE e@i e§e@ TgLBPHONB WO. BATg 

CAA POBM g 

S 6. JAN ti 
P.32 

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

Ms. Carol Schababerle 

Can Chemical, Incorporated 

Five Greenway Plaza, Suite 2500 

Post Office Box 27702 

Houston, Texas 77227-7702 

Paragraph 1, line 3: Geismer, Louisiana changed to Beaumont, Texas 

cc: Texas Air Control Board, EPA Region VI 

Ms. Sherrie L. Arnold 

Dow Chemical Clearing House 

2030 Dow Center 

Midland, Michigan 48640 

Paragraph 1 line 3: Geismer, Louisiana changed to Plaquemine, Louisiana 

Mr. Ron Barnard 

Quantum Chemical Corporation 

8805 North Tabler Road 

Morris, Illinois 60450 

Paragraph 1, line 3: Geismer, Louisiana changed to Morris, Illinois 

cc: EPA Region V, Illinois EPA • * ' 

Mr. Walter Brenner 

Sun Refining and Marketing Company 

Post Office Box 426 

Marcus Hook, Pennsylvania 19061 

Paragraph 1, line 3: Geismer, Louisiana changed to Claymont, Delaware 

cc: EPA Region HI , Delaware Division of Environmental Control 

Mr. Gerald R. Dorgant 

Hoechst Celanese 

Post Office Box 58190 

Houston, Texas 77258-0190 

Paragraph 1, line 3: Geismer, Louisiana changed to Clear Lake, Texas 

cc: Texas Air Control Board, EPA Region VI 

RegNeg.Sch 

dkd.001 
P.33 

• } 

Mr. Ron Berglund 

Union Carbide Corporation 

Post Office Box 8361 

South Charleston, West Virginia 25303-

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

production facilities in Seadrift, Texas, and Taft, Louisiana, 

cc: Texas Air Control Board, Louisiana Department of Natural Resources, 

EPA Region VI 

Mr. Terry Leonard 

BASF Wyandotte Corporation 

Post Office Box 457 

Geismer, Louisiana 70734 

Mr. Robert Shapley 

Texaco Chemical Company 

Post Office Box 787 

Port Neches, Texas 77651 ' y . 

Paragraph 1, line 3: Geismer, Louisiana changed to Port Neches, Texas 

cc: Texas Air Control Board, EPA Region VI 

RegNeg.Sch 

dkd.001