UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

RESEARCH TRIANGLE PARK, NC 27711 

November 17, 2010 

OFFICE OF 

AIR QUALITY PLANNING 

AND STANDARDS 

Mr. Dave McNees 

Director of Environment & Corporate Real Estate 

General Shale Brick, Inc. 

P.O. Box 3547 

Johnson City, Tennessee 37602 

Re: Requirement to provide information according to Title 42 of the United States Code, 

Chapter 85, Subchapter I, Part A, section 7414 (42 U.S.C 7414) 

Dear Mr. McNees: 

Pursuant to section 114 of the Clean Air Act (CAA), the U.S. Environmental Protection 

Agency (EPA) is requesting that you provide information on the following: 

• Startup and shutdown events at all of your brick and structural clay product 

manufacturing facilities, as described in Enclosure 1. 

• Emissions of hydrogen fluoride, hydrochloric acid, chlorine, metals, and particulate 

matter from the tunnel kilns listed in Enclosure 2. 

We request that you send this information to us by February 28, 2011. Also, please 

review the list of sources in Enclosure 2 and inform us of any relevant updates. 

If you believe that certain sources are representative of the other sources and that testing 

a subset of the sources could be done and used to provide data and information that would apply 

to other, untested sources, EPA is willing to consider a proposal from you to do representative 

testing. At a minimum, such a proposal would need to show a similarity in raw materials, 

process equipment, emission control device, and equipment size between the sources and be 

approved by EPA in writing. 

Enclosure 3 provides additional information on the pollutants to be tested and the 

requirements for conducting and reporting the emission tests. 

Enclosure 4 contains a summary of our legal authority in section 114 of the CAA to 

obtain the information that is now being requested. If you believe that providing any specific 

information to us would reveal a trade secret, please identify this information clearly in the test 

report that you submit in response to this request. Enclosure 4 describes the type of information 

that EPA may ask of you at a later time to prove that any information you have so identified is 

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

Recycled/Recyclable • Pr1 nted w~h Vegetable Oil Based Inks on Recycled Paper (Minimum 25% Postconsumer) 
2 

truly confidential. Any information determined to be a trade secret will be protected by 18 

U.S.C. 1905. If you do not claim as confidential any of the information you submit in response 

to this request, we can make the information available to the public without notifying you fmther 

(40 CFR Part 2.203, September I, 1976). Because section 114 of the CAA does not allow 

emissions data to be claimed as confidential, the emissions data you provide to us can be made 

available to the public. A detailed explanation of what we consider to be emissions data is 

contained in Enclosure 5. Please take note of Enclosure 5 when identifying any information in 

your submittal that you are claiming as confidential. 

We have contracted RTI International (RTI) (Contract No. EP-D-06-118) to help us 

gather information about your industry. As noted in Enclosure 6, we have designated RTI to be 

our authorized representative. Therefore, RTI has the same rights discussed above and in 

Enclosure 4 as EPA has. This means that RTI will have access to all information you provide to 

us. As a designated representative of the Agency, RTI must, by law, also abide by the 

requirements of 42 U.S. C. 7414(c) in regard to the confidentiality of what you claim to be trade 

secrets. 

Enclosure 7 summarizes our policies and procedures for handling trade secret 

information and describes how our contractor also is required to use the same procedures as we 

do. Because our contractors or other authorized representatives are required to follow the 

requirements in Enclosure 6, your rights and any privileged information you submit to us will be 

protected. 

Each facility subject to emissions testing should prepare a site-specific test plan prior to 

testing. A site-specific test plan addresses the planning and quality assurance and quality control 

procedures and acceptance criteria for all of the testing, including the collection of process data. 

Please note that you do not have to submit a test plan to EPA for approval prior to testing. 

However, the EPA Electronic Rep01ting Tool (ERT) Version 3, in which EPA requires that data 

be reported, requires that a test plan be entered into the program prior to submitting test results. 

Enclosure 8 provides an example of the EPA ERT Version 3 test plan. Enclosure 9 provides 

guidance for developing a site-specific test plan. 

You are requested to notify your state air regulatory agency or designated permitting 

authority at least 21 days before the requested stack tests are scheduled to begin. Detailed 

instructions on how and where to submit the data are provided in Section 3.0 of Enclosure 3. 

If you have questions regarding the need for this request or need clarification on the 

information we are requesting, please contact Jeffrey Telander with EPA's Office of Air Quality 

Planning and Standards at 919-541-5427 (e-mail: telander.jeff@epa.gov). Please return the 

requested information to Mr. Telander by February 28,2011. 
3 

The collection of the information requested in this letter is part of EPA's effort to obtain 

the best information available to develop the standard. Your help in providing this information is 

greatly appreciated. 

9 Enclosures 

Sincerely, 

Peter Tsirigotis 

Director 

Sector Policies and Programs Division 

Enclosure I: Stattup and shutdown survey 

Enclosure 2: Emissions sources to be tested 

Enclosure 3: Summary of test procedures, methods, and repotting requirements 

Enclosure 4: EPA's information gathering authority 

Enclosure 5: Clarification of what EPA considers to be emissions data 

Enclosure 6: Summary of contractor's authority as representative of EPA 

Enclosure 7: Procedures for safeguarding CBI under the CAA 

Enclosure 8: Example EPA ERT Version 3 test plan 

Enclosure 9: Site-specific test plan development guidance 

cc: Barry R. Stephens, Director, Division of Air Pollution Control, Tennessee Department of 

Environment and Conservation (w/o enclosures) 

JohnS. Lyons, Director, Division for Air Quality, Kentucky Department for Environmental 

Protection (w/o enclosures) 

James A. Capp, Chief, Air Protection Branch, Georgia Environmental Protection Division 

(w/o enclosures) 

Keith Baugues, Assistant Commissioner, Office of Air Quality, Indiana Department of 

Environmental Management (w/o enclosures) 

Beverly Banister, Director, Air, Pesticides and Toxics Management Division, U.S. 

Environmental Protection Agency, Region IV (w/o enclosures) 

Cheryl Newton, Director, Air and Radiation Division, U.S. Environmental Protection 

Agency, Region V (w/o enclosures) 
Enclosure 1 

The questions below apply to startup and shutdown that resulted in exceedances of permit 

conditions at an affected source or portion of an affected source. 

1. Please provide the following information for your facility: 

A. Facility ID, consisting of the first four letters in the parent company name, followed 

by a number (e.g., ABCD-1, ABCD-2, etc.); 

B. Facility name; 

C. Address (including city, state, and zip code); 

D. Mailing address (if different); and 

E. Latitude and longitude coordinates of the facility. 

2. For each startup and shutdown event that occurred over the last 3 years, please provide the 

following information requested in A. through J. 

A. Using the definitions provided below, indicate whether the event was a startup or 

shutdown. 

Startup: the setting in operation of an affected source or portion of an affected 

source for any purpose. 

Shutdown: the cessation of operation of an affected source or portion of an 

affected source for any purpose. 

B. A description of the event, including identification of the emissions source or sources 

associated with the startup or shutdown; 

C. Whether any permit condition was exceeded and, if so, what permit condition was 

exceeded; 

D. Whether the event was covered by any contingency plan for controlling emissions 

during startup and shutdown events and, if so, whether the plan was followed; if the plan 

was not followed, why not; 

E. The duration of the event; 

F. The actions taken to minimize emissions during the event, including the use of any 

backup control systems; 

G. Estimates or measurements, if any, of emissions during the event; if you did not have 

the ability to quantify emissions during the event, please explain why; 
H. Whether the emission profile of each unit was different during startup and shutdown 

than during normal operating conditions and, if so, how emissions were different and 

why; please provide any supporting information; 

I. All performance test data collected during each period of startup and shutdown; the 

test method used for each event; when the testing was conducted and why; the test 

conditions at the time of testing; and whether the tests were associated with a routine 

startup or shutdown; and 

J. All monitoring data, including control system parameter monitoring, collected during 

each period of startup and shutdown. 

If this information is contained in periodic and immediate startup and shutdown reports (either 

stand-alone or contained within the periodic excess emissions report) submitted to your 

permitting authority, you may submit copies of those reports instead. 

3. Please submit a copy of your startup and shutdown plan if you are required to develop one. 

4. Optional: Do you wish to recommend a standard that would apply during startup or 

shutdown? If so, please describe the type of event to which the standard would apply; the 

recommended standard (this could be an emission limitation, work practice, or operational 

standard) that would apply during the period; the basis for the recommended standard; why and 

how the standard would minimize emissions during the event; and how would compliance be 

determined and/or monitored. 
Enclosure 2 

Tunnel Kilns To Be Tested 

EU Type EU ID 

Design 

Capacity 

(tph) Control Device Control/Stack ID Polluta

General Shale Brick – Spring City, TN 

Tunnel Kiln tk-1 20.55 Dry sorbent injection/fabric filter diff-1 HF, HCl, Cl2, m

General Shale Brick – Fairdale, KY 

Tunnel Kiln tk-1 14.70 Dry lime scrubber/fabric filter dls/ff-1 HF, HCl, Cl2, m OR Tunnel Kiln tk-2 14.72 Dry lime scrubber/fabric filter dls/ff-2 HF, HCl, Cl2, m

General Shale Brick – Coosa, GA 

Tunnel Kiln tk-1 18.75 Dry sorbent injection/fabric filter diff-1 HF, HCl, Cl2, m OR Tunnel Kiln tk-2 18.75 Dry sorbent injection/fabric filter diff-2 HF, HCl, Cl2, m

General Shale Brick – Mooresville, IN 

Tunnel Kiln tk-1 14.80 Dry sorbent injection/fabric filter diff-1 HF, HCl, Cl2, mTunnel Kiln tk-2 13.70 Dry sorbent injection/fabric filter diff-2 HF, HCl, Cl2, mTunnel Kiln tk-3 20.55 Dry sorbent injection/fabric filter diff-3 HF, HCl, Cl2, ma HF = hydrogen fluoride, HCl = hydrochloric acid, Cl2 = chlorine, PM = particulate matter. Note: Metals analysis require

and reporting that value as PM filterable. 
Enclosure 3 

Summary of Test Procedures, Methods, and Reporting Requirements 

This document provides an overview of approved methods, target pollutant units of measure, and 

reporting requirements for brick and structural clay products (BSCP) industry emissions testing. 

Refer to Enclosure 2 of the Section 114 letter you received for the specific sources and pollutants 

for which emissions data are requested. This document is organized as follows: 

 1.0 Stack Testing Procedures and Methods 

 2.0 How to Report Data 

 3.0 How to Submit Data 

 4.0 Contact Information for Questions on Test Plan and Reporting 

1.0 Stack Testing Procedures and Methods 

1.1 How to Select Sample Location and Gas Composition Analysis Methods 

U.S. EPA Method 1 of Appendix A of Part 60 must be used to select the locations and number of 

traverse points for sampling. Please note that, for sources equipped with emission controls, you 

are required to sample only at the outlet of the control device. If any of the sources to be tested 

have multiple outlets or stacks, you must test all outlets/stacks simultaneously. For a complete 

copy of the method and guidance information, see 

http://www.epa.gov/ttn/emc/methods/method1.html. 

Analysis of flue gas composition, including oxygen concentration, must be performed using U.S. 

EPA Methods 3A or 3B of Appendix A of Part 60. See 

http://www.epa.gov/ttn/emc/methods/method3a.html for Method 3A or 

http://www.epa.gov/ttn/emc/methods/method3b.html for Method 3B information. 

1.2 Source Test Methods 

Table 1.1 presents a summary of the recommended test methods for each pollutant, alternative 

methods, minimum number of tests runs required, minimum test run duration, and units of 

measure. For copies of the recommended U.S. EPA methods and additional information, please 

refer to EPA’s Emission Measurement Center website: http://www.epa.gov/ttn/emc/. If you 

would like to use a method not on this list, please contact EPA for approval of an alternative 

method. 

Please take note that all tests must be performed with the process and emission control devices 

operating under normal conditions. 

Please provide a complete copy of the emission test report(s) with all appendices, including a 

description of test methods and any deviations from the test methods or other anomalies that 

occurred with the process or control device operations during the test; run-by-run emission data; 

sample calculations; field data sheets and notes; laboratory data; and quality assurance and 

quality control activities performed. In addition to the emission test data, you should also report 

the following process information recorded at the time of, and during, the emission test: stack or 

exhaust gas flow rate (as determined using U.S. EPA Method 2, 2F, or 2G); production data, as 
2 

indicated in Table 1.2; emission control devices in use during the test; and control device 

operating or monitoring parameters as indicated in Table 1.3. 

Table 1.1. Summary of BSCP Source Test Methods and Alternative Methods 

Pollutant 

Recommended 

Method 

Alternative 

Method 

Minimum No. of Test 

Runs and Duration 

Target Reported Units of 

Measurea

HCl, HF, and Cl2 U.S. EPA Method 

26A 

U.S. EPA 

Method 320 

Three 1-hour runs kg/hr, kg/Mg of product, 

and ppmvd@ 7% O2

HAP metals and 

PM (filterable)c

U.S. EPA Method 29 None Three 1-hour runs kg/hr, kg/Mg of product, 

and mg/dscm @ 7% O2

Flow rate U.S. EPA Method 2, 

2F, or 2G 

None Simultaneous with 

each pollutant test run 

acmm and dscmm 

O2 U.S. EPA Method 

3A 

U.S. EPA 

Method 3B 

Simultaneous with 

each pollutant test run 

Volume %, dry 

Moisture U.S. EPA Method 4 None Simultaneous with 

each pollutant test run 

Volume % 

a

 kg/hr = kilograms per hour; kg/Mg = kilograms per megagram; ppmvd = parts per million by volume, dry basis; 

mg/dscm = milligrams per dry standard cubic meter; acmm = actual cubic meters per minute; and dscmm = dry 

standard cubic meters per minute. See Table 1.2 for format of production data. 

b

 A copy of the method can be found at: http://www.epa.gov/ttn/emc/prelim.html c

 HAP metals include antimony, arsenic, beryllium, cadmium, chromium, cobalt, lead, manganese, mercury, nickel, 

and selenium. In addition, weigh filter and report as PM filterable.

Table 1.2. Production Data Requesteda

Source Type Production Data Format 

Tunnel kiln Megagrams of fired brick produced per hour a For each hour of testing or each test run. 

Table 1.3. Control Device Monitoring 

Control Devicea Parameters to be Monitored During Test 

Wet scrubber Pressure drop, liquid flow rate, sorbent type and feed rate 

DIFF Sorbent type and injection rate 

DLS/FF Sorbent type and injection rate 

Fabric filter No monitoring required a DIFF = dry sorbent injection fabric filter; DLS/FF = dry lime scrubber/fabric filter.

2.0 How to Report Data 

The method for reporting the results of any testing and monitoring requests depends on the type 

of tests and the type of methods used to complete the test requirements. This section discusses 

the requirements for reporting the data. 

2.1 Reporting Stack Test Data 

If you conducted a stack test using one of the methods listed in Table 2.1, shown below, you 

must report your data using the EPA Electronic Reporting Tool (ERT) Version 3. ERT is a 

Microsoft® Access database application. Two versions of the ERT application are available. If 

you are not a registered owner of Microsoft® Access, you can install the runtime version of the 
3 

ERT Application. Both versions of the ERT are available at 

http://www.epa.gov/ttn/chief/ert/ert_tool.html. The ERT supports an Excel spreadsheet 

application (which is included in the files downloaded with the ERT) to document the collection 

of the field sampling data. After completing the ERT, you will also need to attach an electronic 

copy of the emission test report (PDF format preferred) to the Attachments module of the ERT. 

Table 2.1: List of Test Methods Supported by ERT 

Test Methods Supported by ERT 

Methods 1 through 4 

Method 3A 

Method 26A 

Method 29 

If you conducted a stack test using a method not currently supported by the ERT, you must 

report the results of this test in a Microsoft® Excel Emission Test Template. The Excel templates 

are specific to each pollutant and type of unit, and they can be downloaded from the Brick and 

Clay Ceramics MACT ICR 2009 website http://icr2010.rti.org. You must report the results of 

each test on the appropriately labeled worksheet corresponding to the specific tests requested at 

your facility. If more than one source at your facility was tested using methods not currently 

supported by the ERT, you must make a copy of the worksheet and update the source ID in order 

to distinguish between each separate test. After completing the worksheet, you must also submit 

an electronic copy of the emission test report (PDF format preferred). 

2.2 Required Fields for ERT Reporting 

Enclosure 8 provides an EPA ERT Version 3 example test plan and lists each field within the 

ERT and notes whether or not the field is required or optional. 

2.3 Reporting Measured Values Below the Detection Level 

Identify the status of measured values relative to detection levels on the spreadsheet or in the 

ERT using the following descriptions: 

 BDL (below detection level) – all analytical values used to calculate and report an instack emissions value are less than the laboratory’s reported detection level(s); 

 DLL (detection level limited) – at least one but not all values used to calculate and report 

an in-stack emissions value are less than the laboratory’s reported detection level(s); or 

 ADL (above detection level) – all analytical values used to calculate and report an instack emissions value are greater than the laboratory’s reported detection level(s). 

For each reported emissions value, insert the appropriate flag (BDL, DLL, or ADL) in the Notes 

line of Excel emission test spreadsheet template or in the Comments line of the Electronic 

Reporting Tool (ERT). 

When reporting and calculating individual test run data: 

 For analytical data reported from the lab as “nondetect” or “below detection level;” 
4 

 Include a brief description of the procedures used to determine the analytical 

detection and in-stack detection levels: 

o In the Notes line of Excel emission test spreadsheet template; or 

o In the Comments line of Lab Data tab in the Run Data Details in the ERT. 

 Describe these procedures completely in a separate attachment including the 

measurements made, the standards used, and the statistical procedures applied. 

 Calculate in-stack emissions rate for any analytical measurement below detection 

level using the relevant detection level as the “real” value. 

 Report the calculated emissions concentration or rate result: 

o As a bracketed “less than” detection level value (e.g., [<0.0105]) in the 

Excel emission test spreadsheet template and include the appropriate flag 

in the Notes line; or 

o As a “real” value in the ERT with the appropriate flag in the Comments

line. 

 Report as “real” values (i.e., no brackets or < symbol) any analytical data 

measured above the detection level including any data between the analytical 

detection level and a laboratory-specific reporting or quantification level (i.e., flag 

as ADL). 

 For pollutant measurements composed of multiple components or fractions (e.g., Hg and 

other metals sampling trains) when the result for the value for any component is 

measured below the analytical detection level: 

 Calculate in-stack emissions rate or concentrations as outlined above for each 

component or fraction; 

 Sum the measured and detection level values as outlined above using the in-stack 

emissions rate or concentrations for all of the components or fractions; and 

 Report the sum of all components or fractions: 

o As a bracketed “less than” detection level value (e.g., [<0.0105]) in the 

Excel emission test spreadsheet template and include the appropriate flag 

in the Notes line; or 

o As a “real” value in the ERT with the appropriate flag in the Comments

line. 

 Report also the individual component or fraction values for each run if the Excel 

emission test spreadsheet template or ERT format allows; if not (i.e., the format 

allows reporting only a single sum value): 

o For the Excel emission test spreadsheet template, next to the sum reported 

as above report in the Notes line the appropriate flag along with the values 

for the measured or detection level value for each component or fraction 

as used in the calculations (e.g., 0.036, [<0.069], 1.239, [<0.945] for a four 

fraction sample). 

o For the ERT, next to the sum reported as above, report on the Comments 

line the appropriate flag and the measured or detection level value for each 

component or fraction as used in the calculations (e.g., 0.036, [<0.069], 

1.239, [<0.945] for a four fraction sample). 

 For measurements conducted using instrumental test methods (e.g., Method 3A): 
5 

 Record gaseous concentration values as measured including negative values and 

flag as ADL; do not report as BDL. 

 Calculate and report in-stack emissions rates using these measured values. 

 Include relevant information relative to calibration gas values or other technical 

qualifiers for measured values in Comments line in the ERT. 

 When reporting and calculating average emissions rate or concentration for a test when 

some results are reported as BDL: 

 Sum all of the test run values including those indicated as BDL or DLL as “real” 

values. 

 Calculate the average emissions rate or concentration (e.g., divide the sum by 3 

for a three-run test). 

 Report the average emissions rate or concentration average: 

o As a bracketed “less than” detection level value (e.g., [<20.06]) in the 

Excel emission test spreadsheet template and include the appropriate flag 

in the Notes line. 

o As a “real” value in the ERT and include the appropriate flag in the 

Comments line. 

3.0 How to Submit Data 

You may submit your data in any of the ways listed below. However, in order to avoid duplicate 

data and keep all data for a particular facility together, we request that you submit all of the data 

requested from each of your facilities in the same way. To submit your data: 

 E-mail an electronic copy of all requested files to telander.jeff@epa.gov.

 If the files are too large for your e-mail system, you may upload the electronic files to a 

website; if you would like to use this option, send an email to rjmarinshaw@rti.org for 

instructions on how to access the site.

 Mail a CD or DVD containing an electronic copy of all requested files to the EPA 

address below:

Jeffrey Telander 

U.S. EPA Mailroom (D243-02) 

U.S. Environmental Protection Agency 

Office of Air Quality Planning and Standards 

109 T.W. Alexander Drive 

Research Triangle Park, NC 27711 

 If no electronic copy is available, mail a hard copy of all requested files to the 

aforementioned EPA address.
6 

 If the process data or other information you are providing is considered confidential, 

please create a separate CD or DVD containing only the confidential portion of your data 

or prepare a copy of the hard copy materials containing only the pages that include the 

information you consider confidential. Clearly mark the disk and/or materials with the 

words “Confidential Business Information.” Send these confidential files under separate 

cover to the attention of Jeff Telander at the following address:

 Roberto Morales, Document Control Officer 

U.S. EPA Mailroom (C404-02) 

U.S. Environmental Protection Agency 

 Office of Air Quality Planning and Standards 

 109 T.W. Alexander Drive 

 Research Triangle Park, NC 27711 

For the security of your data, EPA recommends sending your confidential files to Mr. 

Morales via Registered U.S. Mail using return receipt requested, Federal Express, or other 

method for which someone must provide a signature upon receipt. Do not electronically 

transmit confidential business information (CBI) to EPA. E-mail and facsimile are not secure 

forms of communication and should never be used to transmit CBI. 

4.0 Contact Information for Questions on Test Plan and Reporting 

For questions on how to report data using the ERT, contact: 

Ron Myers (U.S. EPA) 

(919) 541-5407 

myers.ron@epa.gov 

OR 

Barrett Parker (U.S. EPA) 

(919) 541-5635 

parker.barrett@epa.gov 

For questions on the test methods, contact: 

Peter Westlin (U.S. EPA) 

(919) 541-1058 

westlin.peter@epa.gov 

OR 

Gary McAlister (U.S. EPA) 

(919) 541-1062 

mcalister.gary@epa.gov
7 

For questions on the Brick and Structural Clay Products Industry test plan, test methods, 

and reporting mechanisms other than the ERT, contact: 

Jeff Telander (U.S. EPA) 

(919) 541-5427 

telander.jeff@epa.gov

For questions on uploading files to the website, contact: 

Richard Marinshaw 

RTI International 

(919) 316-3735 

rjmarinshaw@rti.org
*

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)

(Rev. 12/8/95)

Enclosure 4

EPA’s Information Gathering Authority

Under Section 114 of the Clean Air Act

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

Agency broad authority to secure information needed “for the purpose of (i) developing or assisting in the

development of any implementation plan under Section 100 or 111(d), any standard of performance under

Section 111, or any emission standard under Section 112, (ii) determining whether any person is in violation of

any such standard of any requirement of such a plan, or (iii) carrying out any provision of this Act.” Among other

things, Section 114 authorizes EPA to make inspections, conduct tests, examine records, and require owners or

operators of emission sources to submit 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, substantive criteria to be used in such determinations, and special rules

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

on September 1, 1976 (40 FR 36902).

Pursuant to §2.204(a) of EPA’s Freedom of Information Act (FOIA) regulation, in the event a request is

received, or it is determined that a request is likely to be received, or EPA desires to determine whether business

information in its possession is entitled to confidential treatment even though no request for release of the

information has been received, please be advised that EPA will seek, at that time, the following information to

support your claim as required by §2.204(e)(4) of EPA’s FOIA regulations:

1. Measures taken by your company to guard against undesired disclosure of the information to others;

2. The extent to which the information has been disclosed to others, and the precautions taken in

connection therewith;

3. Pertinent confidentiality determinations, if any, by EPA or other Federal agencies, and a copy of any

such determinations, or reference to it, if available; and

4. Whether your company asserts that disclosure of the information would be likely to result in

substantial harmful effects on the business’ competitive position, and if so, what those harmful effects would be, 

why they should be viewed as substantial, and an explanation of the causal relationship between disclosure and

such harmful effects.
Enclosure 5

Enclosure 6
 

Page 1 of 5 

Summary of OAQPS 

 Procedures for Safeguarding Clean Air Act (CAA) 

Confidential Business Information (CBI) 

January 2002 

1. Purpose: 

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

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

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

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

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

regulations. 

2. Reference Documents: 

a. Clean Air Act as amended. 

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

c. EPA Information Security Manual 2195A1 

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

Security Manual (January 2009) 

3. Exception: 

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

the OAQPS, EPA. Nothing in this document shall be construed as superseding or being in 

conflict with any applicable regulations, statutes, or policies to which EPA is subject. 

4. Definition: 

Confidential Business Information (CBI) - Information claimed by the provider to be 

confidential. This information may be identified with such titles as trade secret, secret, 

administrative secret, company secret, secret proprietary, privileged, administrative confidential, 

company confidential, confidential proprietary, or proprietary. NOTE: These markings should 

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

Executive Order 11652. 

Enclosure 7
 

Page 2 of 5 

5. Background: 

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

 “Any records, reports, or information obtained under subsection (a) shall be available to the 

public, except that upon satisfactorily showing to the Administrator by any person that records, 

reports, or information, or particular part thereof (other than emission data), to which the 

Administrator has access under this section if made public, would divulge methods or processes 

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

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

purposes of Section 1905 of Title 18 of the United States Code, except that such record, report, 

or information may be disclosed to other officers, employees, or authorized representatives of the 

United States concerned with carrying out this Act or when relevant in any proceeding under this 

Act.” 

The treatment of CBI by EPA, including data obtained under Section 114 of the Clean Air Act, is 

governed by 40 CFR, Part 2. These regulations require EPA offices to include a notice with each 

request for information to inform the business of: (1) its right to assert a claim of confidentiality 

covering part or all of the information, (2) the method for asserting a claim, and (3) the effect of 

failure to assert a claim at time of submission. In addition, the regulations: (1) set forth 

procedures for the safeguarding of confidential information; (2) contain provisions for providing 

confidential information to authorize representatives; (3) contain provisions for the release of 

information to the Congress, Comptroller General, other Federal agencies, State and local 

governments, and Courts; (4) permit the disclosure of information within EPA to employees with 

an official need for the information; and (5) prohibit wrongful use of such information and cite 

penalties for wrongful disclosure. Further, the regulations contain the Agency’s basic rule 

concerning the treatment of requests for information under the Freedom of Information Act 

(5 U.S.C. 552). 

6. Procedures: 

a. Request for Information 

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

the Division Director. The request includes standard enclosure “EPA’s Information 

Gathering Authority under Section 114 of the Clean Air Act,” which was designed to 

meet the requirement of 40 CFR Part 2 discussed above. 

b. Receipt of CAA Confidential Business Information 

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

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

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

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

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

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

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

Page 3 of 5 

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

finding. 

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

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

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

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

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

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

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

the originator. EPA takes additional measures to ensure that the proprietary designation is 

uniformly indicated and immediately observable. All unmarked or undesignated 

information (except as noted below) may be authorized for public release. 

c. Storage of CAA Confidential Business Information 

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

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

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

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

the OAQPS DCO. 

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

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

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

Operations and Resources (CORE). 

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

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

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

checking out files. 

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

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

personnel. 

Storage procedures for CAA CBI by an authorized representative of EPA (see Section d. 

below) must be, at a minimum, as secure as those established for EPA offices within 

OAQPS. Whenever CBI is removed from the EPA files to be transmitted to an authorized 

representative, a notation is made in the file’s control record and transfer log indicating 

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

representative returns a signed receipt to the DCO. 
 

Page 4 of 5 

d. Access to CAA Confidential Business Information 

Only authorized EPA employees may open or distribute CAA CBI. 

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

CBI in the performance of their official duties are permitted to review documents and, 

upon receiving a confidential document, must sign and date the form shown in 

Attachment A to certify their access to the document. 

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

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

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

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

access list. The CAA CBI access list indicates the “specific” CBI each person is 

permitted to see. The Access List is reviewed and updated periodically. 

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

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

to CAA CBI. The following conditions apply when it has been determined that disclosure 

is necessary: 

(1) The contractor designated as a representative and its employees (a) may use such 

confidential information only for the purpose of carrying out the work required, 

(b) must refrain from disclosing the information to anyone other than EPA without 

having received from EPA prior written approval of each affected business or of an 

EPA legal office, and (c) must return to EPA all copies of the information (and any 

abstracts or excerpts there from) upon request or whenever the information is no 

longer required for the performance of the work. 

(2) The authorized contractor designated as a representative must obtain a written 

confidentiality agreement from each of its employees who will have access to the 

information. 

 A copy of each employee agreement (Attachment B) must be furnished to EPA 

before access is permitted. 

(3) The contractor designated as an authorized representative must agree that the 

conditions in the contract concerning the use and disclosure of CAA CBI are 

included for the benefit of, and shall be enforceable by, both EPA and any affected 

business having a proprietary interest in the information. 

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

only upon approval of the Director, CORE. 

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

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

Page 5 of 5 

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

40 CFR 2, Subpart A. The Freedom of Information Act Coordinator must be consulted prior to 

responding to any request for information if a claim of confidentiality has been asserted or if 

there is reason to believe that a claim might be made if the business knew release was intended. 

e. Use and Disclosure of CAA Confidential Business Information 

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

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

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

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

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

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

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

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

material as CBI. 

f. Handling of Other Information 

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

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

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

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

manner: 

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

EPA or its authorized representative discusses with a responsible industry official 

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

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

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

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

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

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

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

industry official for review. The responsible industry official is requested by cover 

letter to review the report, clearly mark any information considered to be 

confidential, and return the marked up-report to the responsible EPA employee 

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

(3) When the reviewed copy of the report, as marked by the responsible plant official, 

is received by EPA, information designated confidential is placed in the CBI files as 

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

confidential information and the trip report is authorized for release. 
ATTACHMENT A 

EXAMPLE RECORD FORM FOR CBI ACCESS 
CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD

DATE RECEIVED: RESPONSIBLE GROUP: CONTROL NUMBER:

DATE OF DOCUMENT: DOCUMENT AUTHOR:

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

RETURN DATE: DESTRUCTION DATE: INITIALS:

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

SIGNATURE DATE SIGNATURE DATE

CHECK-OUT CHECK-IN

TIME TIME

CAA Form 1 (Rev. 01/02)
ATTACHMENT B 

EXAMPLE RECORD FORM FOR CBI ACCESS 
CAA CBI Security Manual (Appendix A)

I. AUTHORIZATION FOR ACCESS TO CAA CBI FOR FEDERAL EMPLOYEES

FULL NAME POSITION

SSN OFFICE

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

require access to CAA CBI:

 1. Sign the Confidentiality Agreement for Federal Employees

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

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

SIGNATURE OF AUTHORIZING OFFICIAL* TELEPHONE NO. DATE

TITLE LOCATION

II. CONFIDENTIALITY AGREEMENT FOR FEDERAL EMPLOYEES

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

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

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

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

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

this agreement with penalties ranging up to and including dismissal.

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

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

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

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

CBI Office.

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

SIGNATURE TELEPHONE NO. DATE

III. THE UNDERSIGNED CERTIFIES THE ALL TRAINING AND TEST

REQUIREMENTS HAVE BEEN MET BY THE EMPLOYEE. 

 

 SIGNATURE CBI MANAGER/DCO TELEPHONE NO. DATE

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

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

Security Manual.

 

Date Date Date Date Date Date

Initial Initial Initial Initial Initial Initial

Date Date Date Date Date Date

Initial Initial Inital Initial Initial Initial

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

A-1
Test Plan

BSCP - Kiln Emission Testing

Facility Information:

Enter Facility Name

Enter Physical Address

City Stat Zip Code

Contact: Person to contact for more detail

Phone: Enter contact's phone number

Fax: Enter contact's fax number

Email: Enter contact's email address

Testing Company:

Name of primary testing organization

Enter US postal address

City Stat

e

Zip Code

Contact: Field Test Leader

Phone: Enter contact's phone number

Fax: Enter contact's fax number

Email: Enter contact's email address

Air Permit Number:

Enter your facility's Air Permit Number

Permitted Source ID/Name:

Kiln ID Kiln Name

Permitted Maximum Process Rate:

Process rate (Mg fired brick/hr)

Max. Normal Operation Process Rate:

Process rate (Mg fired brick/hr)

Target Process Test Rate

Process rate (Mg fired brick/

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

The primary reason for performing this emissions test is to provide emissions data to develop emission standards for 

HAP.

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

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

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

pollutants that are of secondary interest.

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

 process flow diagram:

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

similarity with others of same SCC. An example is: The source is a tunnel kiln. Emissions are controlled by a dry 

sorbent injection fabric filter (DIFF).

5b. Control Devices:

Industry NAICS: 327121 or 327123

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

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

AFS #: Enter AFS Number FRS #: Enter FRS ID

SCC / Description 30500311 Industrial Processes - Mineral Products - Brick Manufacture - Curing and Firing: 

Gas-fired Tunnel Kilns 

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

Process Parameter Units Target Value Comments

Brick Produced Megagrams/hr 0 Provide estimated process 

rate for this test.

Wednesday, November 10, 2010 Test Plan Page 1 of 4

Enclosure 8
Test Plan

BSCP - Kiln Emission Testing

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

6. Please enter sampling location information.

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

Control Device Name

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

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

description in section 5a.

Target

Parameter 

Test

Method

Number of

Test Runs

Test Run

Duration

Sample 

Location Points Comments

Outlet of Flowrate Method 1 - 4 3 60 0

Control Device

Outlet of % H2O Method 1 - 4 3 60 0

Control Device

Outlet of Hydrogen Chloride Method 26A 3 60 0

Control Device

Outlet of Hydrogen Fluoride Method 26A 3 60 0

Control Device

Outlet of Chlorine Method 26A 3 60 0

Control Device

Outlet of Chromium Method 29 3 60 0

Control Device

Outlet of Antimony Method 29 3 60 0

Control Device

Outlet of Arsenic Method 29 3 60 0

Control Device

Outlet of Cadmium Method 29 3 60 0

Control Device

Outlet of Cobalt Method 29 3 60 0

Control Device

Filterable 

Particulate

Outlet of Method 29 3 60 0

Control Device

Outlet of Lead Method 29 3 60 0

Control Device

Outlet of Manganese Method 29 3 60 0

Control Device

Outlet of Mercury Method 29 3 60 0

Control Device

Outlet of Nickel Method 29 3 60 0

Control Device

Outlet of Selenium Method 29 3 60 0

Control Device

Outlet of Beryllium Method 29 3 60 0

Control Device

Outlet of O2 Method 3A O2 3 60 0

Control Device

Location

Round

Duct

Diam.

Distance from 

upstream dist.

Distance from

downstream dist.

Number of

Traverse Ports

Equiv. 

Diam

Min.Travers 

Points

Rect. Duct 

Length /Width

Outlet of 

Control Device

0 0 0 0 0 0 0 0

Test

Method

Emissions /

 Concentrations

Corrected 

Analyte

Corrected

Location Percent

Wednesday, November 10, 2010 Test Plan Page 2 of 4
Test Plan

BSCP - Kiln Emission Testing

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

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

request 

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

acceptable 

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

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

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

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

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

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

 supporting documentation.

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

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

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

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

11. Select the method that will determine the oxygen concentration : M3A-instrumental

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

explain.

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

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

calibrated, check the "Yes" box.

Yes No

Yes No

Yes No

Yes No

Yes No

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

 procedures? If No, describe certification procedure below.

Yes No N/A

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

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

 sample preparation and shipment.

Test

Method

Emissions /

 Concentrations

Corrected 

Analyte

Corrected

Location Percent

Outlet of Control Method 1 - 4 percent(%) 0

Device

Outlet of Control Method 3A O2 percent(%) 0

Device

Outlet of Control Method 26A grams/hr 0

Device

Outlet of Control Method 26A ppm corrected O2 7

Device

Outlet of Control Method 29 grams/hr 0

Device

Outlet of Control Method 29 mg/dscm corrected O2 7

Device

Wednesday, November 10, 2010 Test Plan Page 3 of 4
Test Plan

BSCP - Kiln Emission Testing

17. What is the proposed test schedule? 

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

including any set up dates.

18. Additional comments:

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

Name:

Title:

Company:

Sign Date:

Name:

Title:

Company:

Sign Date:

Permitted Facility Representative Date Testing Company Representative Date

19. Required Personal Protection Equipment:

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

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

performance of the test program. It will also serve to inform the facility of the source tester's knowledge of the 

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

Yes No N/A

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

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

Wednesday, November 10, 2010 Test Plan Page 4 of 4
Enclosure 9 

Site-Specific Test Plan Development Guidance 

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

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

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

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

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

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

including the collection of process and fuel data. 

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

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

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

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

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