UNITED STATES ENVIRONMENTAL PROTECTION AGENCY RESEARCH TRIANGLE PARK, NC 27711

Mr. Mark Garza Environmental Manager Shintech Incorporated 5618 Highway 332 East Freeport, TX 77541 DearMr. Garza: 

### MAR 16 2011 OFFICE OF AIR QUALITY PLANNING AND STANDARDS

Pursuant to section 114 ofthe Clean Air Act (CAA), the U.S. Environmental Protection Agency (EPA) is collecting information to characterize hazardous air pollutant emissions from vinyl chloride monomer (VCM) and ethylene dichloride (EDC) production facilities. We request this information to support our efforts under section 112 ofthe CAA to address air toxics emissions from these facilities. We request information on your company's VCM and/or EDC production facility specifically listed below: Shintech Incorporated Plaquemine, Louisiana We are providing the survey response forms inMicrosoft® Excel2003 spreadsheet format. A blank database canbe downloaded from the following website: http://www2.ergweb.com/projects/EDCVCM/index.html The survey is designed to collect information on emissions, emission points and related control devices, and other relevant aspects ofthe facilities. Enclosure 1contains a summary of the information we are requesting; Attachment A to Enclosure 1contains instructions to assist you in completing yourresponse. We have also provided, in Attachment B to Enclosure 1, additional information onthe background andpurpose ofthe information request. Onthe website cited above, we have provided example process flow diagrams and the survey instructions. Please referto this material in completing your response. As part ofthis informationrequest, we are also requiring stack testing for selected emission sources at your company's VCM and/or EDCproduction facility. Details regarding the stacktesting requirements can be found in Enclosure 2. The test results reporting forms can be downloaded from the website referenced above.

Internet Address (URL) • http://www.epa.gov Recycled/Recyclable • Prtnted wnh Vegetable 011 Based Inks on Recycled Paper (Minimum 25% Postconsumer)2 Supplemental information is contained inthe following enclosures: 

### Description

**Enelo~ure#** Summary ofinformation requested and survey Enclosure 1 instructions Test Procedures, Methods, and Reporting Enclosure 2 Requirements CAA Section 114 Authority and CBI claims Enclosure 3 CBI emissions data disclosure Enclosure 4 Designation ofERG as authorized representative Enclosure 5 Policies and Procedures for handling CBI Enclosure 6

Please e-mail the completed non-confidential survey response and stack test results to: RCG-VCM@epa.gov The survey is designed to collect emissions information, which, by law, cannotbe confidential information. Ifyou are submitting this production or cost information as confidential business information (CBI), as described in Enclosure 4, thenthis informationmust be mailed to EPA on a CD-ROM or DVD-ROM disk. Clearly markthe disk with the words "Confidential Business Information," and send either via U.S. Postal Service Express Mail, registered mail, orprivate courierto: Jodi Howard c/o U.S. EPA OAQPS Document Control Office (C404-02) Attn: Roberto Morales Research Triangle Park, NC 27711 DO NOTELECTRONICALLY TRANSMIT CONFIDENTIAL BUSINESS INFORMATION TO EPA. You are required to return the following completed items onorbeforethe dates indicated: Survey Response Stack Testing Results May 13,2011 August 31, 20113

Ifyou have questions regardingthis request, please contactMs. Jodi Howard, Refining and Chemicals Group, at (919) 541-4607, orhoward.jodi@epa.gov. Thankyoufor your assistance inthis effort. Sincerely,

SectorPolicies and Programs Division 6 Enclosures

cc: Mr. Carl Edlund, USEPA, Region 6 (6EN-AA), AirDivisionDirector, 1445 Ross Avenue, Dallas, TX, 75202-2733 Ms. Misty Lemon, LA DEQ, P.O. Box 82135, BatonRouge, LA, 70884-2135, Mr. James Bell, ShintechIncorporated (via email)Enclosure 1


### VINYL CHLORIDE MONOMERAND ETHYLENE DICHLORIDE PRODUCTION INFORMATION REQUEST I. Introduction The informationrequest is to be completed for the facility identified inthe cover letter to your company that produces vinyl chloride monomer (VCM) and/or ethylene dichloride (EDC). The information request must be completed for sources which produce VCM and/or EDC, whether the product is produced as an intermediate or a finished product. Facilities that have received a permitto construct, buthave not yet commenced production ofVCM orEDC, orthat are expanding existingproduction capacity are required to complete all parts ofthe survey. For those facilities, projected actual emissions (not "potential to emit") are to beprovided in lieu of actual operating emissions. There are two components to the information request, a Microsoft® Excel survey and emissions testing. We are requesting information about equipment and operations that have vinyl chloride emissions during VCM or EDC production at your facility. In the survey, you are required to provide information regarding vinyl chloride emissions. Ifyou estimate vinyl chloride emissions, base the estimate on existing source test data, recorded operating data, orengineering calculations, including the engineering basis for all calculations. The survey is formatted as a series ofExcel worksheets. Data entry worksheets are provided for all informationrequested inthe survey. At the beginning ofthe survey, you must provide.basic descriptive information for each process unit which will help facilitate consistent terminology throughout the survey. You mustprovide information onthe emissions from each emissionpoint, theprocess units contributing to the emissions, and the control device prior to the emission point. We are requesting detailedprocess information only where this information will help us understand the air emissions associated with yourprocess. This survey mayrequire youto submit a limited amount ofinformation that youmay choose to claim as confidential business information (CBI). Refer to Enclosure 4 for the information EPAmayrequire, at a latertime, to support your confidentiality claims. Instructions for obtaining the survey are found in Section II ofthis Enclosure. A summary ofthe requested supplemental data and information can be found in Section III, and instructions for submitting your response can be found in Section IV. Applicable definitions can be found in Section V, with acronyms and units ofmeasure provided in Section VI. Attachment A ofthis Enclosure contains instructions for completing your responses with worksheet-specific guidance. Attachment B ofthis Enclosure provides additional information on the scope and purpose ofthis survey. Respondents should read this material before attempting to complete the survey.As a part ofthis informationrequest, we are also requiring emissions testing for selected emission sources. Additional informationregarding the testing requirements can be found in Enclosure 2.

VCM/EDC Section 114 Enclosure 1- Page 1 3/11/2011Enclosure 1

Ifyou have questions regarding this request, please contact Ms. Jodi Howard, Refining and Chemicals Group, at (919) 541-4607 orhoward.jodi@epa.gov. 

### II. Instructions for Obtaining the Survey Files The survey response worksheets are available in Microsoft® Excel at the following website: 

### http://www2.ergweb.com/projects/vcmedcsurvey/index.html Use the following user name and password to login: • Username: vcmedc • Password: survey As a company, youmust submit one Excel file perfacility. Other files available for download include an example process flow diagram and a copy ofthis enclosure. Refer to the instructions contained inthis enclosure when completing your response. As questions arise through the survey response period, they·will be addressed in a question and answer document which will also beposted on the website. 

### III. Supplemental Data and Information Requested In addition to completingthe survey, we are requesting the submission ofsupplemental data and informationto supportthe information submitted for all parts ofthe survey. The following table summarizes the supplemental data and informationthatmust be submitted with your response. Provide actual recorded data where possible and submit any previously conducted emissions testing data in the Test Data worksheet ofthe Excel survey. Ifrecorded process data (such as continuous emissions monitoring system (CEMS) data) is not available, provide estimates based on engineering assessments, material balances, etc., and provide copies ofestimation worksheets and other supporting documentation. Recorded process data, testresults, estimation worksheets, engineering calculations, assessments, etc., mustbe provided to supportthe information submitted for all parts ofthe survey. In addition to the informationrequested inthe table below, EPA may request additional information which will enable us to better understand responses and interpret data. Process unit flow diagrams submitted may be existing diagrams whichyou have created for another purpose. These diagrams must include identification ofemissionpoints and control devices; use the same nomenclature between the process flow diagrams and your survey.

VCM/EDC Section 114 Enclosure I- Page 2 3/1112011Enclosure 1

Informationrequested is for the related equipment and timeperiods as designated inthe table below. Process unit refers only to VCM and EDC process units.

Process Unit Flow Diagram Emissions Test Reports Control Device, Facility wide emissions inventory with calculation details Each Facility, year 2009 Vinyl Chloride CEMS Data Each Process Unit CEMS, year 2009. (Data may be provided as hourly averages to reduce file Excel files Operating Permit and permit applications, variances to permits for VCM and EDC process units (Air permits only) Current permit for each Process Unit, and outstanding applications which have not been included in the current 

### IV. Instructions for Submitting Your Survey Response Use the appropriate file naming format as listed belowfor the files you submit when responding to this survey:

Survey [Company]_[Facility]_ VCMEDCSurvey Facility Plot Plan [Company]_[Facility]_PlotPlan Process Unit Flow Diagram [Company]_[Facility]_[ProcessUnitiD]_PFD Emission Test Reports [Company]_[Facility]_[ProcessUnitiD]_[MMYYYY]_ET VCCEMSData [Company]_[Facility]_[ProcessUnitiD]_ CEMS Operating Permits [Company]_[Facility]_[ProcessUnitiD]_ Pennit_[MMYYYY]

Forfile names that include dates or date ranges, use four digits for the year (YYYY) and two digits for the month (MM). Submit the files with all otherrequired data and information outlined in Section III. Please e-mail the completed non-confidential survey response to: 

### rcg-vcm@epa.gov

VCM/EDC Section 114 Enclosure 1 -Page 3 3/1112011Enclosure 1

If

**ym~** are submitting CBI as described in Enclosure 4, thenthis information mustbe mailed to EPA on a CD-ROM or DVD-ROM disk. Clearly mark the disk with the words "Confidential Business Information" and send either viaU.S. Postal Service Express Mail, registered mail, orprivate courierto: Jodi Howard c/o U.S. EPA OAQPS Document Control Office (C404-02) Attn: Roberto Morales Research Triangle Park, NC 27711 DO NOT ELECTRONICALLY TRANSMIT CONFIDENTIAL BUSINESS INFORMATION TO EPA. Ifyou have questions regarding this request, please contact Ms. Jodi Howard, Refining and Chemicals Group, at (919) 541-4607 or howard.jodi@epa.gov. 

### V. Key Term Definitions The following definitions are provided for the purpose ofthe survey only. They are not intended to replace statutory definitions orregulatory definitions developed elsewhere. Control device: Any equipment that reduces the quantity ofa pollutantthat is emitted to the air. The device may destroy or secure the pollutant for subsequent recovery. Examples include thermal and catalytic oxidizers, adsorbers, absorbers/scrubbers, and fabric filters. Forthe purposes of this survey, a control device includes recovery and recapture devices which are not primary condensers for distillation operations. EDC purification: Includes any part ofthe process ofethylene dichloride purification following ethylene dichloride formation, but excludes crude, intermediate, and final ethylene dichloride storage tanks. Emission Point: Any permitted or unpermittedpointwhere vinyl chloride is beingreleased and the emissions are from equipmentused in ethylene dichloride purification, vinyl chloride formation, or vinyl chloride purificationor has emissions from oxychlorination reactors or direct chlorinationreactors. Hazardous Air Pollutants (HAP): See 42 U.S.C. §7412(a)(6).

VCM/EDC Section 114 Enclosure 1- Page 4 3/11/20IIIn vinyl chloride service:

Process unit:

Stream:

Vinyl chloride purification:

Volatile Organic Compounds (VOC): Enclosure 1

A piece ofequipment either contains or contacts a liquid that is at least 10 percent vinyl chloride by weight or a gas that is at least 10 percent by volume vinyl chloride as determined according to the provisions of40 CFR 61.67(h). The equipment assembled and connected by pipes or ducts to processrawmaterials and to manufacture an intended product. A chemical manufacturing process unit consists of more than one unit operation. Forthe purpose ofthis information request, a process unit includes air oxidation reactors and their associated product separators and recovery devices; reactors and their associated product separators and recovery devices; distillationunits and their associated distillate receivers andrecovery devices; associatedunit operations; associated recovery devices; and any feed, intermediate arid product storage vessels, product transferracks, and connected ducts and piping. A process unit includespumps, compressors, agitators, pressure relief devices, sampling connection systems, open-ended valves or lines, valves, connectors, instrumentation systems, and control devices or systems. A process unit is identified by its primaryproduct. Any contained ornon-contained solid, liquid, gas, orvapor entering or exiting an individual unit operation or single piece ofequipment. Includes any part ofthe process ofvinyl chloride production which follows vinyl chloride formation. See 40 CFR 51.100(s).

VCMIEDC Section I 14 Enclosure 1 -Page 5 3/11/2011Enclosure 1 

### VI. Key Acronyms and Units ofMeasure

**~** percent acfm actual cubic feet perminute

Btu/scf CAA CEMS day/yr DC dscfm EDC EPA ft 

### ft/s

gpm gr/dscf HAP hr/day

Ill



### kPa 

## LAER lb/day lb/gal actual cubic feet perminute per square foot Britishthermal units per standard cubic foot CleanAirAct continuous emissions monitoring system days peryear District ofColumbia dry standard cubic feet perminute ethylene dichloride U.S. Environmental Protection Agency feet feet per second cubic feetperthousand actual cubic feet perminute U.S. gallons per minute grains perdry standard cubic foot hazardous airpollutants hours per day inches inches ofwater kilopascals lowest achievable emissionrate pounds (mass) perday pounds (mass) perU.S. gallon

VCMIEDC Section 114 Enclosure 1- Page 6 311112011lb/hr lbs/yr MACT mglt

MMlb/yr NAICS NESHAP OAQPS

P&ID PFD ppmv ppmw RCG



### s scfin SPPD ton/yr VCM 

## voc vol% wt% Enclosure 1 pounds (mass) perhour pounds (mass) peryear maximum achievable control technology milligrams per liter milligramsper cubic meter millionpounds (mass) peryear North American Industry Classification System national emission standards for hazardous airpollutants Office ofAir Quality Planning and Standards degrees Celsius degrees Fahrenheit piping and instrumentation diagram process flow diagram parts permillion, byvolume parts per million, by weight Refining and Chemicals Group second or seconds standard cubic feet perminute SectorPolicies and Programs Division tons peryear, or shorttons per year vinyl chloride monomer volatile organic compounds volume percent, orpercentby volume weight percent, orpercent by weight

VCMIEDC Section 114 Enclosure 1- Page 7 3/11/2011Enclosure 1 AttachmentA 

### Survey Instructions for Vinyl Chloride Monomer and Ethylene Dichloride Production Facilities The survey is to be completed for facilities thatproduce vinyl chloride monomer (VCM) and/or ethylene dichloride (EDC) at your company. These instructions provide informationto complete each worksheet inthe survey. Bullet points are used to provide guidance for specific questions inthe survey. Company Information Complete this worksheet once for the company; company refers to the highest corporate entity associated with the facilities, parent company orlegal owner. Facility Information Complete this worksheet once for the facility owned by the company which produces VCM and/or EDC.

• Legal owner and Legal operator: Enter this information to distinguish between the owner and operator. Process Units Complete this worksheet once for the facility, identifying all process units. Please note, ifyou operate two discrete manufacturing lines, eachproducing EDC, you will have two process units for the purposes ofthis survey. Please provide a uniqueprocess unit identifier for each process unit at the facility; use the same terminology and unit identifiers between the process flow diagrams and your survey. Incertain instances, emissionpoints mayhave streams from other facilities which are ventedthrough a control device atthis facility. Ifthis applies to you, please list the other facility andprocess unit ID for clarity. This process unit ID shall be provided as a contributing process unit onthe "Emission Points" worksheet. For each Process Unit ID given under the VCM/EDC process units section, detailed questions about emissions will be asked in the remainder ofthe survey. For otherprocess units listed, detailed questions will notbe asked. IDs for these process units are used to give a more completeunderstanding ofthe interactionbetweentheprocess units. As an example, a control device could have feeds from a VCM and PVC process unit. EmissionPoints Foreachprocess unit involved inthe production ofVCM orEDC, pleaseprovide unique emissionpoint identifiers onthis worksheet. An emissionpoint for the purposes ofthis survey is anypermitted or unpermittedpoint where vinyl chloride is being released and the emissions are VCMIEDC Section 114 Enclosure 1, Attachment A- Page l 3111/20IIEnclosure 1 Attachment A from equipment used in ethylene dichloride purification, vinyl chloride formation, or vinyl chloride purification orhas emissions from oxychlorination reactors or direct chlorination reactors. Provide all emissionpoints onthis worksheet, with one emission pointper column. If you have more emission points than will fit on one worksheet, you may copy and create new worksheets to provide all information. Emissionpoints must be appropriately marked on the process flow diagram; use consistent identifiers between the survey and the process flow diagram. Ifa control device(s) directly precedes an emission point, please provide an ID for the final control device(s); use consistent terminology between the sunrey and process flow diagram. Itis notnecessary to provide IDs for all control devices used throughoutthe process unit. Multiple control device IDs will be necessary only ifthere are control devices in series directlypreceding the emissionpoint (e.g., a thermal oxidizer and acid gas scrubber). In addition, for each control device listed, you will complete the corresponding control device worksheet to gather basic information. Ifan emission point is comprised ofstreams from multiple process units, enter the Process Unit ID onrow 13 with the largest contribution to the emissions and list otherprocess units under the contributing process units section. Do not list emissionpoints more than once if emissions are from multiple process units. Ifotherprocess units (non-VCM/EDC process units) are contributing to the emissions, please identify them inrows 55 through 74; however, ifnonVCM/EDC process units are the largest contributor to an emission point, enter onrow 13 the VCM orEDC process unit with the largest contribution and include a note in the comments section. Ifan emission point is associated with multiple process units and a particularprocess unit provides 50 percent ofthe flow, but 90 percent ofthe vinyl chloride content, enter 90 percent when providing information on contributing process units. Please provide the following stack paran1eters and emissions information for each emissionpoint:

• Ground elevation (ft): Enterthe elevation above sea level. • Stackheight above ground elevation (ft): Enter the height ofthe stack orvent from the ground. • Stack diameter (ft): Enterthe internal diameter ofthe stack or vent atthe exit. • 2009 Actual vinyl chloride emissions (lbs): Enter emissions during normal operation for 2009. • 2009 Maximum hourly vinyl chloride emissions (lblhr): Enter the maximum emissions during any one hour in 2009. • Vinyl chloride emissions expected at maximum operating capacity (lbs/yr): Enter the emissions that would be expected ifthe unit were operating at its maximum capacity. • Annual vinyl chloride emissions allowed by Federal regulation or state permit (e.g., NESHAP emission limit) (lbs/yr): Enterthe annual emissions during normal operation allowed by the regulation and/or permitto which this point is subject. If there is no applicable emissions limit for this pollutant, enter "N/ A". (Note that ifthe emission limit is on a concentrationbasis, you will need to use process data at maximum capacity to convert the limitto lbs/yr.)

VCMIEDC Section 114 Enclosure 1, Attachment A- Page 2 3/11/2011Enclosure 1 Attachment A

• 2009 Average vinyl chloride concentration (mg/m3 

### @7% 

### 0 2): Enter average concentration during normal operation for 2009. • Vinyl chloride concentration expected at maximum operating capacity (mg/m3 

### @7% Oz): Enterthe concentration that would be expected ifthe unit were operating at its maximum capacity. For vinyl chloride emissions information, enter actual data ifavailable or estimate values. Process Equipment Opening Foreach process unit involved in the production ofVCM orEDC, fill outthis worksheet for each equipment opening which occurred in 2009 and resulted in vinyl chloride emissions. Include process equipment openings and the associated emissions related to batch operations, cleaning activities, or other opening activities. This includes loading orunloading lines that are not opened to the atmosphere after each loading or unloading operation, but excludes opening of crude, intermediate, and final EDC storage tanks. Describe the process equipment opened in sufficient detail to describe where it occurs in the process flow, no formal ID is necessary, but may be provided. Provide all equipment openings on this worksheet, with one openingper column. Ifyou have more equipment openings than will fit on one worksheet, you may copy and create new worksheets to provide all information. Alternatively, ifyou have a large number ofequipment openings to report, you may attach a spreadsheet containing the informationrequested. Please note inthe survey ifyou have taken this option. Ifyou do notkeep records ofprocess equipment openings for individual vessels and openedmany vessels during a turnaround, you may report a group ofvessels inthe same process unit, and make emission estimates for the group ofvessels. Loading and UnloadingLines For each process unit involved inthe production ofVCM or EDC, complete this worksheet for loading and unloading lines invinyl chloride service which are opened to the atmosphere after each loading or unloading operation. This includes all loading orunloading of tank trucks, railcars, barges, ships, and other loading orunloading operations. Provide all loading and unloading operations onthis worksheet, with one operation per column. Ifyou have more loading and unloading operations than will fit on one worksheet, you may copy and create new worksheets to provide all information. Costs For each process unit involved inthe production ofVCM or EDC, complete this worksheet for activities which resulted in a reduction ofvinyl chloride emissions. Please provide costs for any air pollution control devices changes, process changes, equipment changes/upgrades, and management or workpractices implemented whichreduced generation of vinyl chloride emissions withinthe last 10 years for which you have readily available cost information. For all costs do not adjust for inflation. Additionally, you mayprovide information for changes made more than 1 0 years ago ifdesired. Provide all cost informationonthis

VCM/EDC Section 114 Enclosure I, AttachmentA- Page 3 3/ll/20llEnclosure 1 Attachment A worksheet, with one changeper column. Ifyou have more cost information than will fit on one worksheet, you may copy and create newworksheets to provide all information. This worksheet is separated into two sections with different questions for each. The first section focuses on control device modifications andthe second sections focuses onprocess and equipment changes. · Control Device Costs Forthis section, provide costinformation on control device installations and/or modifications.

• Reason for modification: Examples include compliance with air toxics regulations, consent orders, or cost reduction. • Length ofshutdown (days) refers to days oflost production. For the capital costs section: • Purchased equipment includes all mechanical, electrical, and auxiliary equipment. • Installation costs include foundations, buildings, supports, handling/erection, electrical, piping, painting, engineering, construction and field expenses, site preparation, demolition, contractor fees, start-up, and testing. • Instrumentation and monitors includes related equipment, installation, and calibration. Forthe annual operating and maintenance costs section: • Give all operation and maintenance costs for 2009. • Utilities include electricity, water, steam, natural gas, liquid or solid chemicals, or other. • Other annual costs may include supplies andreplacementparts such as catalyst for selective catalytic reduction or carbonfor carbon adsorbers, along with other costs available. Please type a description and give a cost for each; youmay enter as many as you have. Process and Equipment Change Costs Forthis section, provide cost data for anyprocess and equipment changes/upgrades, and management orwork practices implemented. Example changes, upgrades, and practices include installation ofmonitoring equipment, pollutionpreventiontechniques, or improvements in maintenance. Provide the total capital cost and the change in annual operating cost. Also, for this section, identify the airpollutants affected along with eitherthe emissions reduction (lb/yr) orpercent reduction.


## • 

## • Length ofshutdown to make·change (days) refers to days oflostproduction

. Total capital cost is the lump sum ofany expenditures onequipment, installation, planning, etc., that is related to the change orpractice.

VCM/EDC Section 114 Enclosure 1, Attachment A- Page 4 3/1112011Enclosure 1 Attachment A

11 Change intotal annual operating cost ($/yr): Provide changes in annual operating costs. Include annual operating costs that are anincrease to prior operating costs (e.g., additional operating costs due to installation ofcontrol devices orlaborto perform additional maintenance). Ifthe change or practiceresulted in decreased annual operating costs, indicate the cost decrease as a negative number. Existing TestData Enter emissions testing data for each emission pointrelated to VCM orEDC process units for which stack tests were conducted during the last 5 years. You are only asked to provide emissions data for vinyl chloride and dioxins/furans. You may submit stack test datawhich is more than 5 years old ifyoubelieve it is representative ofcurrent operations. Do not include test data for combustionunits which are notused as control devices. In addition, please submit electronic copies ofcomplete stack testresults. Note thatthis test data section is to provide data in additionto the stacktesting beingrequired as part ofthis informationrequest, and does not substitute for any ofthe stacktesting requirements. Control Devices Fill outthe corresponding worksheet for each control device whichis listed onthe Emission Points worksheet. Each worksheet has specific questions based onthe type ofcontrol device. Ifthere are multiple control.devices ofone type (e.g., two thermal oxidizers) provide details for eachonthe same worksheet, with one control device percolumn. Ifyouhave more control devices than will fit on one worksheet, you may copy and create new worksheets to provide all information. Please be consistent withthe emissionpoint IDs and control devices IDs listed. Control device worksheets are provided for: 11 Thermal or catalytic oxidizers (T.O.) • Absorbers

11 Adsorbers • Condensers • Flares • Other control devices

VCM/EDC Section 114 Enclosure I, Attachment A- Page 5 3/1112011Enclosure 1 Attachment B 

### BACKGROUND FOR ETHYLENE DICHLORIDE AND VINYL CHLORIDE MONOMER PRODUCTION INFORMATION REQUEST 

### I. Introduction The purpose ofthis attachment is to provide the respondent with additional detail on the relevant requirements ofthe Clean Air Act (CAA) and the regulatory background ofethylene dichloride and vinyl chloride monomerproduction. 

### II. Summary ofClean AirAct Requirements The CAA prescribes an analytical framework that EPA is to apply in developing national emission standards for hazardous airpollutants (NESHAP) for major sources. A key concept in this framework is the establishment ofthe maximum achievable control technology (MACT) floor. The CAA specifies that NESHAP for existing sources in a particular category or subcategory are to be no less stringent (but may be more stringent) than the average emission limitation achieved by the best performing 12 percent ofthe existing sources in such category or subcategory ofsources. In categories or subcategories with less than 30 sources, the floor is to be based on the average emission limitation achieved by the best performing 5 sources. The MACT floor for new sources is the emission control that is achieved inpractice by the best controlled similar source. The CAA also sets forth requirements for EPAto reviewthese MACT standards, and, ifnecessary, revise them. 

### III. Regulatory Background for EthyleneDichloride and Vinyl Chloride Monomer Production On October 21, 1976, EPA promulgated emission standards for vinyl chloride under the risk-based CAA requirements then in effect (41 FR46560; 40 CFR 61, Subpart F (40 CFR 61.60

- 61.71)) ("the Part 61 NESHAP"). When Congress amendedthe CAA in 1990, itrequired EPA to establishtechnology based standards under CAA section 112(d). As a result, EPA promulgated the 40 CFRpart 63, subparts F, G, and H NESHAP for Organic Hazardous Air Pollutants from the Synthetic Organic Chemical Manufacturing Industry (RON) source category onApril22, 1994 (59 FR 19454). Ethylene dichloride (EDC) and vinyl chloride monomer (VCM) production were included inthe RON source category. OnDecember 21, 2006, EPA determined not to revise the 40 CFRpart 63 RONNESHAP pursuant to sections 112(d)(6) and 

### (f) ofthe CAA (71 FR 76603). The purpose ofthis request is to collect information to characterize hazardous air pollutant emissions from VCM and EDC production facilities.

VCM/EDC Section 114 Enclosure I, Attachment B- Page 1 3/1112011Enclosure 2



## Test Procedures, Methods, and Reporting Requirements

For Vinyl Chloride Monomer and Ethylene Dichloride Production Emission Points Underthe authority ofSection 114 ofthe Clean AirAct, EPA is requesting emissions testing for facilities which produce vinyl chloride monomer (VCM) and Ethylene Dichloride (EDC). This testprogram requires youto conduct emissions tests for pollutants which originate from these production facilities. Youmust perform stack tests that are representative ofcurrent operations at each emissionpoint described inthis enclosure. All recipients must complete thetesting and submit a testreport with the results of the emissions test no laterthan

### August 31,2011. This document provides an overview ofapproved methods, targetpollutant units ofmeasure, and reporting requirements for VCM and EDCproduction facilities required to provide emission test databased on the CAA section 114letter. The purpose for this testing is to gather data on air pollutant emissions from certain emissions points in VCM and EDC production. The document is organized as follows: 

### 1.0 Stack Testing Procedures and Methods 2.0 Reporting Test Data 3.0 Data submission Procedures 4.0 Contact

**Informa~ion** 

### for Questions 

### 1.0 Stack Testing Procedures and Methods

You must conduct a stack (performance) test for at least one ofthe incineration control systems (e.g., thermal oxidizer in series with acid-gas scrubber) used to control emissions from VCM and/or EDC production for the following pollutants: Table 1.1: VCMJEDC compounds to be tested



### Compound (CAS 

### #} Dioxins/Furans (congeners) Vinyl Chloride (75-01-4) Total Hvdrocarbons Ifyou operate a "stand alone" direct chlorination EDC unit, you are notrequired to conduct any stacktesting. Inadditionto the compounds listed above, you are required to collect simultaneous measurements ofCO, C02, 0 2 , moisture and flow rate as required by the individual test methods.Enclosure 2


### 1.1 How to SelectSampleLocation and Gas CompositionAnalysisMethods U.S. EPA Method 1 ofAppendix A ofPart 60 must be usedto selectthe locations and number oftraverse points for sampling. See http://www.epa.gov/ttn!emc/methods/methodl.html for a copy ofthe method and guidance information. Analysis offlue gas composition for 02, C02 or excess air must be performed using U.S. EPA Methods 3Aor 3B ofAppendix A ofPart 60. See http://www.epa.gov/ttnlemc/methods/method3a.html for Method 3Aor http://www.epa.gov/ttn!emc/methods/method3b.html for Method 3B information. 

### 1.2 Vinyl ChlorideMonomer andEthyleneDichlorideProductio11 Stack Test Methods Testing must be conducted onthe outlet ofat least one ofyour incineration control systems (e.g., thermal oxidizer in series with acid-gas scrubber) that controls emissions from VCM and/or EDC production. Testing must also be conducted atno less than 90 percent ofyourpermitted or maximum production capacity. Ifyou tested one ofyour incineration control syste:t;ns as part ofthe CAA section 114 polyvinyl and copolymer (PVC) testing, submitted those results to EPA, and those results were based on streams from PVC and VCM/EDC, you are not required to conduct additional testing underthis VCM/EDC CAA section 114 request. You mustprovide a written explanation ofwhat streams were included inthe test and the percentage they contributedto the total process vent stream by April 11, 2011. Ifyou have conducted testing for one or more ofthe compounds listed inthis test memo, that testing maybe used inlieu ofconducting the testing required by this test memo, provided yourequest a test waiver for our consideration. Only those requests which meet the following criteriawill be considered for test waiver approval:

• The testing must have been conducted withinthe last 5 years; • The testing mustbe a part ofcompliance demonstration with another Federal or state rule; • The test methods used must be the same as test methods required by this test memo; • The testplans, protocol, orresults must be approved by Federal or state agency; • The test durationmustbe at least equivalent to those required bythis test memo; • The compounds tested must be the same as those required by this test memo, including congeners for dioxins/furans; • The process data during testing mustbe submitted (production rates for all process units contributingto emissions, operational parameters specific to the control device(s), heat input, fuel composition, and feed rate offuel and waste gas into incineration unit); VCM-EDC Test Procedures Memo -Page2 03/11111Enclosure 2

• A copy ofthe test report summary, which includes test methods, test duration, and an explanation ofwhere sampling was conducted, must be submitted; • The detection levels obtained during the testing mustbe submitted, as well as a description ofthe procedure used to determine each detection level; and • The analytical methods used to determine the test results must be submitted. Waiverrequests with incomplete information will not be approved. Ifwe do not approve your waiver request, you will be required to conduct all the testing required within this testmemo by August 31, 2011. Table 1.2 presents a summary ofthe recommended and alternative testmethods for each compound. We understand thatmany ofthe VCM and EDC production facilities are co-located with various chemical production facilities and may share incineration control systems. Tests may be conducted on an emissionpoint from combined streams. You are not required to isolate the vent streams from only VCM and EDC processes for these tests. You are required to report which processes were operating during the time emissions testing was conducted. Each test should be comprised ofa minimum ofthree validruns (see sample volumes ortimes in Table 1.2). All compound concentrations must be correctedto 3- percent oxygen andmustbe reported on a drybasis. Report the results ofthe stack tests according to the instructions in Section 2.0 ofthis enclosure. The following operational data must be submitted:

• Productionrate (e.g., lb/hour) ofall process units contributing to the emissions source. • Values for the incineration control system's operational parameters, including, as appropriate to the specific control device, flow rates, pressure drop, scrubbing liquid pH, scrubbing liquid flow, sorbent type and sorbent injection rate, temperature, pressure, etc. Include values for all parameters required to be monitored by a regulation orpermit requirement. • Forincineration units (e.g., thermal oxidizers), heat input, fuel composition, and feed rate offuel and waste gas flow rate into the unit during testing; and • A description ofeach control device used in series withthe final control device andthe operating parameters for these control devices. For copies oftherecommended U.S. EPAmethods and additional information, please refer to EPA's Emission Measurement Center website: http://www.epa.gov/ttn/emc/. For copies oftherecommended U.S. EPA SW-846 methods, please refer to EPA's SW-846 Online website: http://www.epa.gov/waste/hazard/testmethods/sw846/index.htm. We believe that the CAA is clear that it is incumbent on the source and the tester to apply methods and procedures resulting in data quality necessary for those decisions, includingproviding for the lowestpossible detection limits considering practical and VCM-EDC TestProcedures Memo -Page 3 03/11/11Enclosure 2
reasonable limitations. For example, source owners and testers should not automatically choose to use low or medium quality equipment for testing (e.g., for costreasons) ifhigh quality equipment is reasonably available. We will review test reports in light ofthis expectation and will be particularly mindful ofwhetherthe testing procedures applied are representative ofthe highest reasonably expected capabilities (e.g., comparing reported minimum measurement detection levels betweentests and testers). Ifwe believe that a source owner ortesterhas failed to meet the requirement ofthe CAAto provide data sufficient for decisions, we can and will request additional measurements requiring the use ofimproved testing procedures. All performance testreports must contain a statement signed by a responsible official that the performance tests were conducted during normal operations and that the performance tests and data are true, accurate, and complete.

Table 1.2: Summary ofVinyl Chloride Monomer and Ethylene Dichloride Incineration Control System Outlet Emissions MeasurementMethods and Alternative Methods

Dioxins/Furans a minimum sample time of 1hour perrun and a nominal detection level ofless than 50 bv. U.S. EPA Method 23. Collect a minimum volume of5 cubic meters perrun. Use high resolution GC/ high resolution mass spectrometry for the anal ical finish. SW-846 Method 0023A with analysis via 8290A. Collect a minimum volume of5 cubic meters per run. ng/dscm@3% 02

1 To properly quantifY vinyl chloride at levels nearthe required nominal detection limit, you must use lower calibration standards than specified in Section 7.2.3 and 10 ofMethod 106. 2 Dioxin/furan congeners 2,3,7,8- tetrachlorinateddibenzodioxin I,2,3,7,8- pentachlorinateddibenzodioxin 1,2,3,4,7,8-hexachlorinateddibenzodioxin 1 ,2,3,6,7,8-hexachlorinateddibenzodioxin 1 ,2,3,7,8, 9-hexachlorinateddibenzodioxin 1 ,2,3,4,6,7,8-heptachlorinateddibenzodioxin octachlorinateddibenzodioxin (OCDD) 2,3,7,8- tetrachlorinateddibenzofuran 1 ,2,3,7,8-pentachlorinateddibenzofuran 2,3,4,7,8-pentachlorinateddibenzofuran 1,2,3,4,7,8-hexachlorinateddibenzofuran 1 ,2,3,6,7,8-hexachlorinateddibenzofuran 2,3,4,6,7,8-hexachlorinateddibenzofuran 1 ,2,3,7,8,9-hexachlorinateddibenzofuran 1,2,3,4,6,7,8-heptachlorinateddibenzofuran 1,2,3,4,7,8,9-heptachlorinateddibenzofuran octachlorinateddibenzofuran (OCPF) VCM-EDC Test Procedures Memo -Page 4 03/11111Total Hydrocarbons

Moisture minimum sampling time of 1 hour perrun. Calibrate the measuring instrument with propane. The low level and high level calibration gases (see sections 7.1.3 and 7.1.5 of Method 25A) must bracketthe measured concentrations or a maximum high level calibration gas (see section 7.1.5 ofMethod 25A) of 10 ppm propane must be used. U.S. EPA Method 3A. Sampling U.S. EPA Method 3B must be performed during all

ollutant testin

. U.S. EPA Method 4. Sampling None mustbe performed during all

ollutant testin

. Enclosure 2

%

%

Flowrate U.S. EPA Method 2. Sampling None Dscf must be performed during all

ollutant testin

. 

### 2.0 Reporting Test Data
You must report the results ofthis test in the VCM/EDC Emissions Test Data Excel file provided on the VCM/EDC website. All operating and stack gas parameters and test data will be reported on one worksheet. Ifyou are claiming the production rate as confidential business information (CBI), please submitboth a CBI and non-CBI version ofthe emissions test data. After completing the worksheet, you must also submit an electronic copy ofthe emission testreport, including all raw data (PDF format preferred). 

### 3.0 Data Submission Procedures To avoid duplicate data and to keep all data for a particular facility together, we request that you submit all ofthe data requested from your facility in the same way. You may submit your data using one ofthe following options:

• E-mail an electronic copy ofall requested files that are not CBI to rcgvcm@epa.gov; or • Mail a CD or DVD containing an electronic copy ofall requested files to the EPA address shown in your CAA section 114letter. Ifno electronic copy is available,

VCM-EDC Test Procedures Memo- Page 5 03/11111Enclosure 2
mail a hard copy ofall requested files to the EPA address shownin your CAA section 114letter. • Ifyou are submitting CBI as described inEnclosure 

### 3, thenthis informationmust be mailed to EPA on a CD-ROM orDVD-ROMdiskto the EPA address shown in your CAA section 114 letter. 

### 4.0 Contact Information for Questions
For questions on the test methods contact: Jason DeWees (U.S. EPA) 919-541-9724 dewees.jason@epa.gov

or BarrettParker (U.S. EPA) 919-541-5635 parker.barrett@epa.gov For questions on the vinyl chloride monomer and ethylene dichloride production section 114 survey or testing requirements contact: Jodi Howard (U.S. EPA) 919.541.4607 howard.jodi@epa.gov

VCM-EDC TestProcedures Memo

- Page 6 03/11/11EPA's Information Gathering Authority Under Section 114 ofthe Clean Air Act Enclosure 3

Under Section 114 ofthe Act (42 U.S.C. 7414), Congress has given the U.S. Environmental Protection Agency broad authority to secure information needed "for the purpose of(i) developing or assisting in the development ofany implementation plan under Section I I0 or 111(d), any standard of performance under Section 111, or any emission standard under Section I12, (ii) determining whether any person is in violation ofany such standard ofany requirement ofsuch a plan, or (iii) carrying out any provision ofthis Act." Amount other things, Section 114 authorizes EPA to make inspections, conduct tests, examine records, and require owners or operators ofemission sources to submit information reasonably required for the purpose ofdeveloping such standards. In addition, the EPA Office of General Counsel has interpreted Section 114 to include authorityto photograph or require submission of photographs ofpertinent 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 ifEPA determines that the information is not entitled to confidential treatment. 1 Procedures to be used for making confidentiality determinations, substantive criteriato be used in such determinations, and special rules governing information obtained under Section I14 are set forth in 40 CFR Part 2 published in the Federal Register on September I, 1976 (40 FR 36902). Pursuant to§ 2.204(a) ofEPA's Freedom oflnformation 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 Ofthe information has been received, please be advised that EPA will seek, at that time, the following information to support your claim as required by§ 2.204(e)(4) ofEPA's FOIA regulations: I. Measures taken by your company to guard against undesired disclosure ofthe information to others; 2. The extentto which the information has been disclosed to others, and the precautions taken in connection therewith; 3. Pertinent confidentiality determinations, ifany, by EPA or other Federal agencies, and a copy ofany such determinations, or reference to it, ifavailable; and 4. Whetheryourcompany asserts that disclosure ofthe information would be likely to result in substantial harmful effects on the business' competitive position, and ifso, what those harmful effects would be, whythey should be viewed as substantial, and an explanation ofthe causal relationship between disclosure and such harmful effects.

1Section 114 requires public availability ofall emission data and authorizes disclosure of confidential information in certain circumstances. See 40 FR 36902- 36912 (September 1, 1976).Enclosure 4 7042 Federal Register I Vol 56. No. 35 I Thursday, February 21, 1991 I Notices

[AD-FRL-3906-3] Disclosure ofEmission Data Claimed as Confidential Under Sections I 10 and I 14(c) ofthe Clean Air Act AGENCY: Environmental Protection Agency (EPA). ACTION: Notice ofpolicy on public release ofcertain emission data submitted under sections 110 and 114(c) ofthe Clean Air Act (CAA). SUMMARY: Section 114(c) ofthe CAA excludes emission data from the general definition oftrade secret information. Certain classes ofdata submitted to the EPA under sections 110 and 114(a) ofthe CAA are emission data, and, as such, cannot be withheld from disclosure as confidential pursuant to section 1905 oftitle 18 ofthe United States Code. This notice clarifies EPA's current policy, and solicits comment regarding that policy and categories ofdata which it considers excluded from atrade secret definition. DATES: Written comments pertaining to this notice are requested by April22, 1991. ADDRESSES: Submit comments to: Nancy D. Riley, U.S. Environmental Protection Agency, Emission Standards Division, Pollutant Assessment Branch (MD-13), Research Triangle Park, NC 27711. FOR FURTHER INFORMATION CONTACT: Timothy Mohin (telephone: (919) 541-5349 commerciai/FTS 629-5349) or Karen Blanchard (telephone: (919) 541- 5503 commercial/FTS 629-5503), Pollutant AssessmentBranch (MD-13), Emission Standards Division; orThomas Rosendahl (telephone: (919) 541-5404 commercial/FTS 629-5404), National Air Data Branch (MD-14), Technical Support Division; U.S. Environmental Protection Agency, Research Triangle Park, North Carolina 27711. SUPPLEMENTARY INFORMATION: The EPA routinely uses the authority ofsections 110 and 114(a) ofthe CAA to gather technical information from industries involved in operations that lead to emission ofpollutants to the ambient air. This information has been used, among other things, to better characterize emitting facilities and to evaluate the need for and impacts ofpotential regulation.

Information requests under sections II0 and 114(a) ofthe CAA typically include questions on uncontrolled and controlled emission rates and emission parameters of the pollutant orgroup ofpollutants of concern. The respondents sometimes claim that its response constitutes trade secret information, and thus, should be treated as confidential. Claims ofconfidentiality may be made under section 114(c) ofthe CAA, which states "* **upon a showing satisfactory to the Administrator by any person that records, reports, or information, or a particularpart thereof, (other than emission data) to which the Administrator has access under this section ifmade public, would divulge methods or processes entitled to protection as trade secrets ofsuch person, the Administrator shall consider such 

### * * * confidential in accordance with the purposes ofsection 1905 oftitle 18 ofthe United States Code* 

### **." Ifthe Administrator so dctcrmines, the information is not disclosable to the public.

However, section 114(c) ofthe CAA provides that information claimed to be a trade secret butwhich constitutes emission data may not be withheld as confidential. Although typically the EPA evaluates whether information constitutes emission data on a case-by-case basis, it believes that some kinds ofdata will always constitute emission data within the meaning ofsection 114(c). The purpose ofthis notice is to describe, without attempting to be comprehensive, that information which the EPA generally considers to be emission data, and which cannot qualif'y as confidential under either section 114(c) or section II0 (as set forth in 41 CFR 51.321, 51,322, and 51.323) ofthe CAA. The EPA is issuing tl1is notice to clarif'y its policy and procedures, to facilitate tl1e use ofthese data in automated data systems and computer-based simulation models, and to expedite processing ofclaims for confidentiality or requests for disclosure.

The EPA presently determines that data submitted to it as emission datadoes not qualif'y as confidential ifit meets the following definition under 40 CFR 2.30I(a)(2)(i):

a. Definitions. For the purpose ofthis section, (I)Actmeans the Clean AirAct, as amended, 42 U.S.C. 7401 etseq. (2)(i) Emission data means, with reference to any source ofemission ofany substance into the air- (A) Information necessary to determine the identity, amount, frequency, concentration, or other characteristics (to the extend related to air quality) ofany emission which has been emitted by the source (or of any pollutant resulting from any emission by the source), or any combination ofthe foregoing:

(B) Information necessary to determine the identity, amount, frequency, concentration, or other characteristics (to the extent related to air quality) ofthe emission which, under an applicable standard or limitation, the source was authorized to emit (including, to the extent necessary for such purposes, a description ofthe manner orrate ofoperation ofthe source), or any combination ofthe foregoing.

(C) A general description ofthe location and/or nature ofthe source to the extent necessary to identifY the source and to distinguish it from other sources (including, to the extent necessary for such purposes, a description ofthe device, installation, or operation constituting the source).

The table below lists the specific data fields which the EPA presently considers to constitute emission data and provides abrief description ofwhat each data field describes. The descriptions are intended to provide general information. This list is not exhaustive, and, therefore, other data might be found, in a proper case, to constitute emission data. Emission Data Fields

Facility Identification: The following data fields are needed to establish the identity and location ofemission sources. This shall also include a description or an identifier ofthe device, installation, or operation constituting the source. These data are used to locate sources for dispersion evaluation and exposure modeling. PlantName and related point identifiers Address City County AQCR (Air Quality Control Region) MSA, PMSA, CMSA (Metropolitan

Statistical Areas) State Zip Code Ownership and point ofcontact information Locational Identifiers:

Latitude & Longitude, or UTM Grid

Coordinates SIC (Standard Industrial Classification) Emission point, device or operation

description information SCC (Source Classification Codes)Federal Register 

### I Vol 56. No. 35 

### I Thursday, February 21, 1991 

### I Notices 7043

Emission Parameters: The following data fields are needed to establish the characteristics ofthe emissions. This information is needed for the analyses of dispersion and potential control equipment. Emission type

(e.g., nature ofemissions such as C02),

particulate or a specific toxic compound, and origin ofemissions such as process vents, storage tanks or equipment leaks) Emission rate

(e.g., the amount released to the

atmosphere over time such as kg/yr or lbs/yr) Release height

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

pollutant is emitted to the atmosphere) Description ofterrain and surrounding

structures (e.g., the size ofthe area associated with

adjacent structures in square meters and terrain descriptions such as mountainous, urban, orrural) Stack or vent diameter at point ofemissions

(e.g., the inside diameter ofvent at the

point ofemission to the atmosphere in meters) Release velocity

(e.g., velocity ofrelease in m/sec) Release temperature

(e.g., temperature ofrelease at point of

release in degrees Kelvin) Frequency ofrelease

(e.g., how often arelease occurs in events

peryear) Duration ofrelease

(e.g., the time associated with arelease to

the atmosphere) Concentration

(e.g., the amount ofan emission stream

constituentrelative to other stream constituents expressed as parts per million (ppm), volume percent, or weight percent) Density ofthe emissions stream or average

molecularweight (e.g., density expressed as fraction or

multiple ofthe density ofair: molecular weight in gig-mole) Boiler or process design capacity

(e.g., the gross heating value offuel input

to a boiler at its maximum design rate) Emission estimation method

(e.g., the method by which an emission

estimate has been calculated such as material balance, source test, use ofAP42 emission factors, etc.) Percent space heat

(e.g., the percent offuel used for space

heating) Hourly maximum design rate

(e.g., the greatest operatingrate thatwould

be expected for asource in a l-hour period) The EPA has determined that these data are emission data and releasable upon request. This determination applies to data currently held by EPA as well

**a~** to information submitted to EPA in the future. Future requests for information under sections 110 and !!4ofthe CAA will indicate thatthese emission datawill not be held confidential. This determination applies only to the data listed in the table. Determinations will continue to be made on acase-by-case basis for data not specified in this generic determination.

After consideration ofcomments on this policy, arevised policy/determination may be published.

Dated: February 8, I991. Michael Shapiro. Acting Assistant Administrator for Air and Radiation. [FRDoc. 9!-4114 Filed2-20-9!: 8:45am]UNITED STATES ENVIRONMENTAl PROTECTION AGENCY RESEARCH TRIANGLE PARK, NC 27711

DESIGNATION OF AUTHORIZED REPRESENTATIVE Enclosure 5

OFFICE OF AIR QUALITY PLANNING

AND STANDARDS FOR STANDARDS OF PERFORMANCE FORNEW STATIONARY SOURCES (SECTION 111), NATIONAL EMISSION STANDARDS FORHAZARDOUS AIR POLLUTANTS (SECTION 112), SOLID WASTE COMBUSTION (SECTION 129), AND FEDERAL OZONE MEASURES (SECTION 183) Under EPA contractEPD07064, Eastern Research Group, ERG (prime contractor) and Research Triangle Institute (RTI), Alpha-Gamma, EngineeringEnvironmental Management (E2M) and lnnovar Environmental Incorporated (subcontractors) are hereby designated Authorized Representatives ofthe Administrator ofthe United States Environmental Protection Agency for the purpose ofassisting in the development ofstandards ofperformance for new stationary sources under42 U.S.C. 7411, national emission standards for hazardous air pollutants under42 U.S.C. 7412, solid waste combustion under 42 U.S.C. 7429, and Federal ozone measures under 42 U.S.C. 7511 (b). Thisdesignation is made pursuant to the Clean Air Act, 42 U.S.C. 7414. The United States Code provides that, uponpresentation ofthis credential, the Authorized Representatives named herein: (1) shall have a right ofentry 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 ormethod required under42 U.S.C. 7414 (a) (1), and sample any emissions that the owner or operator of such source is required to sample. Authorized Representatives ofthe Administrator are subjectto the provisions of 42 U.S.C. 7414 (c) respecting confidentiality ofmethods or processes entitled to protection as trade secrets, as implemented by 40 CPR 2.301 (h) (41 FR 36912, September 1, 1976).

Designation Expires: November 30, 2011 

# d1i:t::l: f'§ Director, OAQPS/SPPD

Recycled/Recyclable • Printed**w~h** Vegetable Oil Based Inks on 100% Recycled Paper (40% Postconsumer)

### 1. Purpose UNITED STATES ENVIRONMENTAL PROTECTION AGENCY RESEARCH TRIANGLE PARK, NC 27711 January 2002



## Summary ofProcedures for Safeguarding Clean Air Act Confidential Business Information Enclosure 6

OFFICE OF AIR QUALITY PLANNING AND STANDARDS

This memorandum describes U.S. Environmental Protection Agency (EPA), Office of Air Quality Planning and Standards (OAQPS) policy and procedures set forth for the handling of information claimed as Confidential Business Information (CBI), whether submitted voluntarily or obtained under Section 114 ofthe Clean Air Act (CAA), and governed by EPAregulations in 40 Code ofFederal Regulations (CFR), Part 2, Subpart B, and other EPA regulations and policies. 

### 2. Reference Documents:

a. Clean Air Act, as amended. b. 40 CFR, Chapter 1, Part 2, Subpart B

- Confidentiality ofBusiness Information. c. EPA Information Security Manual. d. Clean Air Act Confidential Business Information Security Manual (January 2002). 

### 3. Exception: This document was prepared as a summary ofdata gathering and handling procedures used by the OAQPS ofthe EPA. Nothing inthis document shall be construed as superseding or being in conflict with any applicable regulations, statutes, orpolicies to which EPA is subject. 

### 4. Definition: Confidential Business Information

- Information claimed by the provider to be confidential. This information maybe identified with suchtitles as trade secret, secret, administrative secret, company secret, secretproprietary, privileged, administrative confidential, company confidential, confidential proprietary, or proprietary. NOTE: These markings should not be confused withthe classification markings ofnational security information identified in Executive Order 11652.

Internet Address (URL) • http://www.epa.gov Recycled/Recyclable • Printed with Vegetable Oil Based Inks on Recycled Paper (Minimum 25% Postconsumer}2


### 5. Background Section 114 (c) ofthe CAA, as amended, reads as follows: "Anyrecords, reports, orinformation obtained under subsection (a) shall be available to the public, exceptthatupon a showing satisfactory to the Administrator by any person thatrecords, reports, or information, or particularpartthereof(other than emission data), to which the Administrator has access under this section ifmade public, would divulge methods orprocesses entitled to protection as trade secrets ofsuchperson, the Administrator shall consider such record, report, or information orparticularportionthereofconfidential in accordance withthe purposes ofSection 1905 ofTitle 18 ofthe United States Code, exceptthat such record, report, orinformationmaybe disclosed to other officers, employees, or authorized representatives ofthe United States concerned with carrying outthis Act or when relevant in anyproceeding underthis Act." The treatment ofCBI by EPA, including data obtained under Section 114 ofthe CAA, is governedby 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 ofconfidentiality coveringpart or all ofthe information, (2) the method for asserting a

**claim~** and (3) the effect of failure to assert a claim at time ofsubmission. In addition, the regulations: (1) set forth procedures for the safeguarding ofconfidential 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 ofinformation within EPAto employees with an official need for the information, and (5) prohibitwrongful use ofsuch information and cite penalties for wrongful disclosure. Further, the regulations containthe Agency's basic rule concerning the treatment ofrequests for information under the Freedom ofInformation Act (FOIA) (5 U.S.C. 552). 

### 6. Procedures:

a. Request for Information. Each request for information made under the provisions ofSection 114(a) is signed by the Division Director. The request includes standard enclosure "EPA's Information Gathering Authority under Section 114 ofthe Clean Air Act" which was designed to meetthe requirement of40 CFRPart 2 discussed above. b. Receipt ofCAA CBI. Upon receipt ofinformation for which confidential treatment has beenrequested, the OAQPS Document Control Officer (DCO) logs in the material and a permanentfile is established. Ifpart ofthe material is claimed to be confidential, thatportion should bemarked "Subjectto Confidentiality Claim." In compliance with Sections 2.204 and 2.208 of40 CFR Part 2, the Group Leaderresponsible for the requested information reviews the informationto3

determine the validity ofthe confidentiality claim as prescribed bythe sections. Ifthe information is clearly not confidential, the Group Leader prepares a letter for the signature ofthe responsible Division Directorto notify the business ofthis 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 briefdescription ofthe material (submitter, subject, number ofpages, etc.), identifies it with the correctproject number or work assignment number, and lists those persons who are authorized to have access to the information. A record ofpersonnel accessing the information (Attachment A) is also kept onfiled. Byregulation, confidential information must be so marked or designated by the originator. The EPA takes additional measures to ensure that theproprietary designation is uniformly indicated and immediately observable. All unmarked orundesignated information (except as noted below) may be authorized for public release.

c. Storage ofCAA CBI. Folders, documents, or material containing CAA CBI (as defined) shall be secured according to the instructions listed in the OAQPS Security Manual. In addition, the CBI storage area thathas been identified specifically for thatpurpose is equipped with a supplementary locking device. The storage area and files are under the direct control ofthe OAQPS DCO. Access to the storage area is limited to the DCO, Document Control Assistant, and the minimum number ofpersons required to effectively maintain normal business operations as directed by the Director, Planning, Resources, and Regional Management Staff(PRRMS). Files may be issued upon confirmation that the requesting individual is authorized to receive the information. All confidential files must be returned no laterthan close ofbusiness 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 mustnotbe disclosedto any non-authorized personnel. Storage procedures for CAA CBI by an authorized representative ofEPA (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 betransmitted 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 theDCO. d. Access to CAA CBI. Only authorized EPA employees may open or distribute CAA CBI.

### 4 Only employees who require, have a need to know, and are authorized access to CAA CBI inthe performance oftheir official duties are permittedto review documents and, upon receiving a confidential document, must sign and date the form shownin AttachmentA to certify their access to the document. The Group Leaderhaving primaryresponsibility for the CAA CBIprovides a memorandumto 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 ofpersons granted access to CAACBI are placed onthe CAA CBI access list. The CAA CBI access list indicates the "specific" CBI eachperson is permitted to see. The access list is reviewed and updated periodically. Companies under contractto perform work for the EPA may be designated authorized representatives ofEPA. As authorized representatives, contractors maybe granted access to CAA CBI. The following conditions apply whenit has beendetermined thatdisclosure is necessary: (1) The contractor designated as a representative and its employees (a) mayuse such confidential information only for the purpose ofcarrying outthe workrequired, (b) must refrain from disclosing the informationto anyone otherthan EPA withouthaving received from EPA prior written approval ofeach affected business or ofanEPA legal office, and (c) mustreturn to EPA all copies ofthe information (and any abstracts or excerpts there from) uponrequest or whenever the information is no longer required for the performance ofthe work. (2) The authorized contractor designated as a representative must obtain a written confidentiality agreementfrom each ofits employees who 

### Will have access to the information. A copy ofeach employee agreement (Attachment B) mustbe furnished to EPA before access is permitted. (3) The contractor designated as an authorized representative must agree thatthe conditions in the contract concerningthe use and disclosure ofCAA CBI are included for the benefit of, and shall be enforceable by, bothEPA and any affected business having a proprietary interest in the information. Information may be released to or accessed byEPA employees other than OAQPS employees only upon approval ofthe Director, PRRMS. Requests for CAA CBI from other Federal agencies, Congress, the Comptroller General, Courts, etc., are processed in accordance with 40 CFRPart 2, Subpart B. Requests under the FOIA are handled in accordance with 40 CFR Part 2, Subpart A. The FOIA Coordinatormust be consultedpriorto responding to anyrequest for information ifa claim ofconfidentiality has been asserted orifthere is reasonto believe that a claim might be made ifthe business knewrelease was intended.

### 5

e. Use and Disclosure ofCAA CBI. The CAA CBI, as defined, may not be used in publications, supporting documentation, memoranda, etc., that become a part ofthe public domain, except as provided for in 40 CFR Part 2, Subpart B. The CAA CBI may notbe summarized without the approval ofthe Group Leader responsible for the CAA CBI. Any authorizedreproductions 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 ofinformation generated by EPA which contain CAA CBI mustbe stamped "Subject to Confidentiality Claim" and a cover sheet mustbe attached to identifY the material as CBI. 

### f. Handling ofOther Information. Reports, memoranda, documents, etc., prepared by EPA orits authorizedrepresentatives are not normally circulated outside EPA for comment or reviewpriorto publication except in such cases as described in section 6 above. However, because industrial-data-gathering visits, plant inspections, and source testing can involve inadvertent receipt ofCAA CBI, itis the policy ofOAQPS to protect all parties involved inthe following manner: (1) Prior to or at the inception ofa plant inspection, data-gathering visit, or source test, EPA or its authorized representative discusses with aresponsible industry official the information sought, howit is to be used, and howit is to be protected. A copy ofthis summary is usually providedto the industry official being consulted. (2) Following an inspection,**~isit,** ortest, a trip report is prepared to include, as practicable, all informationreceived byEPA or its authorized representative during the visit or test. The report maybe prepared by either EPA or its authorized representative. The draft report is clearly identified with an attached yellowcover sheet. A second copy ofthe draft trip report is forwarded by EPAto the responsible industry official for review. The responsible industry official is requested by cover letter to reviewthe report, clearly mark any information considered to be confidential, and returnthe edited copyto the responsible EPA employee within the time specified. The original draft is kept inthe CBI file until the edited copy is returned by the business firm. (3) When the reviewed copy is returned to EPA, information designated confidential is placedinthe CBI files as described above. The original draft ofthe trip report is edited to delete the confidential information andthe trip report is authorized for release. Attachments (2)CAA CBI Security Manual (Appendix H) 

### CAA CONFIDENTIAL BUSINESS INFORMATION CONTROL RECORD DATE RECEIVED: RESPONSIBLE GROUP: 

# I CONTROL NUMBER:

DATE OF DOCUMENT: DOCUMENT AUTHOR:
DESCRIPTION (PROVIDING ORGANIZATION, TITLE, SUBJECT, NUMBER OF COPIES, NUMBER OF PAGES)

RETURN DATE: 

# IDESTRUCTION DATE: !INITIALS: EACH PERSON WHO IS GIVEN ACCESS TO THIS DOCUMENT MUST FILL IN THE INFORMATION BELOW. 

### CHECK-OUT CHECK-IN SIGNATURE DATE TIME SIGNATURE DATE TIME

CAA Form 1 (Rev. 01/02) H-2CAA CBi Security Manual (Appendix A) I. AUTHORIZATION FORACCESS TO CAA CBIFORFEDERAL EMPLOYEES FULL NAME POSITION SSN OFFICE Itis theresponsibility ofeach Authorizing Official* to ensure thatthe 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 CBIrequired 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 ConfidentialBusiness Information submitted under the Clean AirAct (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 ofup to $1,000 and/or imprisonment for up to one year, iflwillfully disclose CAA Confidential Business Information to any person not authorized to receive it. Additionally, I understand that, I may be subjectto disciplinary action for violation of this agreement with penalties ranging up to and including dismissal. I am aware that, I may be subjectto criminal penalties under 18 U.S.C. 1001 ifi have made any statement of material facts knowing that such statement is false orifI willfully conceal any material fact.
I agree that, upon the termination ofmy duties, transfer or departure from the Environmental Protection Agency, I will return all materials containing CAA Confidential Business Information in my possessionto the OAQPS CBI Office. I certify that I have read and understand these procedures and those outlined in the CAA CBI Security Manual.

SIGNATURE TELEPHONENO. DATE

III. THE UNDERSIGNED CERTIFIES THE ALL TRAINING AND TEST REQUIREMENTS HAVE BEENMETBY THE EMPLOYEE.

SIGNATURE CBI MANAGER/DCO TELEPHONENO. 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 SecurityManual.

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) *Mustbe DIVlston Director (or equivalent) or above

. A-1