p.1 

OAR Box 1394 

Prepped by Ollie Stewart 

Document Number: 

39) ll-C-9 

Docket Number: 

A-94-52 

Printed 7/3/2008 7:52:00 AM Sheet 39 of 56 
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A-94-52 

S& ST'r? 

15322/ 

\S W? 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

Office of Air Quality Planning and Standards 

Research Triangle Park, North Carolina 27711 

AUG 0 5 1993 

Mr. Thomas J. Picken 

Picken's Plastics 

Post Office Box 1279 

Ashtabula, Ohio 44004 

Dear Mr. Picken: 

The U. S. Environmental Protection Agency (EPA) is 

collecting information on emissions and the control of volatile 

organic compounds (VOC's) and hazardous air pollutants (HAP's) 

from the manufacture of reinforced plastic composites. The 

information will be used in the development of maximum achievable 

control technology (MACT) standards for this industry. In order 

to use EPA and industry time efficiently in gathering data, the 

EPA must visit a number of facilities that perform typical 

reinforced plastic composite manufacturing operations. The 

intent of the visits is to understand the reinforced plastic 

composite industry, the type and quantity of HAP's and VOC's 

generated, and how they are being controlled. 

This letter is to request a visit by EPA representatives to 

your facility in Ashtabula, Ohio, on August 12, 1993. Dr. 

Kenneth Meardon of Pacific Environmental Services, Inc. (PES) 

discussed this visit with you in a telephone conversation on 

August 4, 1993. Representatives of the EPA and its contractor, 

PES, who will visit your facility are Dr. Madeleine Strum of the 

EPA and Mr. Greg LaFlam and Mr. Dean Carroll of PES. Enclosure 1 

lists the topics we would like to discuss on the day of the site 

visit. Please be prepared to discuss each of these topics in 

detail. 

The authority for the EPA's information gathering is 

included in Section 114 of the Clean Air Act (42 U.S.C. 7414). 

Enclosure 2 contains a summary of this authority. If you believe 

that disclosure of the information we request would reveal a 

trade secret, you should clearly identify such information as 

discussed in the enclosure. Any information subsequently 

determined to constitute a trade secret will be protected under 

18. U.S.C. 1905. If no claim of confidentiality accompanies the 

information when it is received by the EPA, it may be made 

available to the public by the EPA without further notice 

; J -

ppr | . •--,• 

, ) 
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(40 CFR Part 2.203, September 1, 1976). Because Section 114(c) 

of the Clean Air Act exempts emission data from claims of 

confidentiality, the emission data you provide may be made 

available to the public. A clarification of what the EPA 

considers to be emission data is contained in Enclosure 3. 

As noted in Enclosure 4, we have designated PES as an 

authorized representative of the EPA. Therefore, PES has the 

rights discussed above and in Enclosure 2. As an authorized 

representative of the EPA, PES is subject to the provisions of 42 

U.S.C. 7414(c) respecting confidentiality of methods or processes 

entitled to protection as trade secrets. The EPA contract with 

PES is No. 68D10116. 

Enclosure 5 summarizes EPA policies and procedures for 

handling privileged information and describes EPA contractor 

commitments and procedures for use of confidential materials. It 

is the EPA's policy that compliance by an authorized 

representative with the requirements detailed in Enclosure 5 

provides sufficient protection for the rights of submitters of 

privileged information. 

The following policies concerning liability should also be 

of interest to you: 

1. If a Federal employee is injured in the course of his 

employment, he has compensation coverage from the Government 

under the Federal Employees Compensation Act (5 U.S.C. 8108 et 

seq.); and 

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

personal injury to third parties occurs, the Federal Tort Claim 

Act (28 U.S.C. 1346) provides a means of fixing any liability 

upon the Federal Government. 

The Office of General Counsel has informed the Agency that a 

firm may not condition EPA's "right of entry" upon consent to a 

waiver of liability and has instructed employees not to sign such 

waivers. If you have any questions regarding this refusal, 

please contact Mr. Donnell L. Nantkes, Office of General Counsel, 

at (202) 382-5460. 
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If you have any questions regarding this request, please 

contact Dr. Madeleine Strum of my staff at (919) 541-2383 or 

Mr. Greg LaFlam of PES at (919) 941-0333. 

Sincerely, 

T^Susan R. Wyatt, Chief 

Cnemicals and Petroleum Branch 

Emission Standards Division 

5 Enclosures 

cc: David A. Kee, Director, Air and Radiation Division, 

EPA Region V (Enclosure 1 only) 

Robert Hodanbosi, Chief, Division of Air Pollution Control, 

Ohio Environmental Protection Agency (Enclosure 1 only) 

Greg LaFlam, Pacific Environmental Services 

(Enclosure 1 only) 
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ENCLOSURE 1 

Plastic Composites Production Industry 

DISCUSSION TOPICS 

I. Plant Visit Intent 

The intent of this site visit is to understand the 

production of reinforced plastic composites. Information on the 

type and quantity of HAP and VOC emissions generated and how they 

are being controlled is requested. Mr. John Schweitzer of the 

Composites Institute has confirmed that your facility performs 

plastic composite manufacturing operations. 

II. Plant Diagram and Description 

A complete understanding of the processes that are performed 

at the facility related to plastic composites production is 

needed to describe and characterize the industry through the 

development of model plants, which form the basis for analyzing 

options for possible emission standards. A generalized plant 

diagram that shows the production process steps and a more 

detailed description of those that produce HAPs are needed to 

achieve this goal. 

III. Emissions 

All operations associated with the production of plastic 

composites (raw material storage, handling and/or preparation, 

production reactions, molding presses, end product finishing and 

storage, by-product processing, waste handling and treatment, or 

any other related processes) which give rise to HAP emissions 

need to be identified as well as which emission sources are 

controlled. 

IV. Control Methods and Regulations 

In order to determine maximum achievable control technology 

(MACT), identifying the types of control methods and any 

limitations on their applicability is important. Therefore, 

information concerning the types of control devices, the 

processes whose emissions they control, their design parameters 

and their effectiveness is needed. Information on their cost 

(capital and operating, including maintenance) and associated 

wastes from these devices will be very useful. 

In determining MACT, information on other methods (e.g., 

product substitutions, process changes, pollution prevention 

techniques) that reduce or eliminate emissions is also needed. 

The type of information we need includes the effectiveness of the 

method for reducing emissions, the costs (or savings) of 
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implementation, and applicability of the method to other 

operations. Any information on methods that were considered and 

never implemented is also useful. 

A brief discussion of the current regulations that affect 

the emissions of HAPs (either directly or indirectly) at the 

plant would also be very useful. 

5 
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Enclosure 2 

EPA's Information Gathering Authority 

Under Section 114 of the Clean A1r Act 

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

U. S. Environmental Protection Agency broad authority to secure Information 

needed "(a) for the purpose (1) of developing or assisting 1n the development 

of any Implementation plan under Section 110 or 111(d), any standard of 

performance under Section 111, or any emission standard under Section 112 

(11) of determining whether any person 1s 1n violation of any such standard or 

any requirement of such a plan, or (111) 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 1s empowered to obtain Information described by 

that section even If you consider 1t 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 1f EPA determines that the Information 1s not entitled to 

confidential treatment.* Procedures to be used for making confidentiality 

determinations, substantive criteria to be used 1n such determinations, and 

special rules governing Information obtained under Section 114 are set forth 

1n 40 CFR Part 2 published 1n the Federal Register on September 1, 1976 

(40 FR 36902). 

•Section 114 requires public availability of all emission data and authorizes 

disclosure of confidential Information In certain circumstances. See 

40 FR 36902 - 36912 (September 1, 1976). 

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Pursuant to §2.204(a) of EPA's Freedom of Information Act (FOIA) 

regulation, 1n the event a request Is received, or 1t 1s determined that a 

request 1s Ukely to be received, or EPA desires to determine whether business 

Information 1n Its possession 1s 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 undeslred disclosure 

of the Information to others; 

2. The extent to which the Information has been disclosed to others, and 

the precautions taken 1n connection therewith; 

3. Pertinent confidentiality determinations, 1f any, by EPA or other 

Federal agencies, and a copy of any such determinations, or reference to 1t, 

1f available; and 

4. Whether your company asserts that disclosure of the Information would 

be Ukely to result 1n substantial harmful effects on the business' 

competitive position, and 1f 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. 

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Enclosure 3 

7042 Federal Register / Vol. 56. No. 35 / Thursday, February 21. 1991 / Notices 

Dated: February 14.1891. 

Paul Lapeley, 

Director. Regulatory Management Division. 

{FR Doc. 91-4113 Filed 2-ZO-B1:8:45 am] 

BIUMO COOt SSSO-SMi 

[AD-FP.L-3906-3] 

Disclosure of Emission Oata Claimed 

as Confidential Under Sections 110 

and 114(c) of ttw Clean Mr Act 

AQENCY: Environmental Protection 

Agency (EPA). 

ACTION: Notice of policy on public 

release of certain emission data 

submitted under sections 110 and 114(c) 

of the Qean Air Act (CAA). 

SUMMARY: Section 114(c) of the CAA 

excludes emission data from the general 

definition of trade secret information. 

Certain classes of data submitted to the 

EPA under sections 110 and 114(a) of the 

CAA are emission data. and. a s such, 

connnot be withheld from disclosure as 

confidential pursuant to section 1905 of 

title 18 of the United States Code. This 

notice clarifies EPA's current policy, and 

solicits comment regarding that policy 

and categories of data which it 

considers excluded from a trade secret 

definition. 

OATES: Written comments pertaining to 

this notice are requested by April 22. 

1991. 

ADDRESSES: Submit comments to: Nancy 

D. Riley, U A 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 commercial/FTS 629-6349) or 

Karen Blanchard (telephone: (919) 541-

5503 commercial/FTS 629-6503), 

Pollutant Assessment Branch (MD-13). 

Emission Standards Division: or Thomas 

Rosendahl (telephone: (919) 541-6404 

commercial/FTS 629-6404). 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 of sections 

110 and 114(a) of the CAA to gather 

technical infonnation from industries 

involved in operations that lead to 

emission of pollutants to the ambient 

air. This infonnation has beea used, 

among other things, to better 

characterize emitting facilities and to 

evaluate the need for and impacts of 

potential regulation. 

Infonnation requests under sections 

110 and 114(a) of the CAA typicaUy 

include questions on uncontrolled and 

controlled emission rates and emission 

parameters of the pollutant or group of 

pollutants of concern. The respondents 

sometimes claim that its response 

constitutes trade secret infonnation. and 

thus, should be treated as confidential. 

Qaims of confidentiality may be made 

under section 114(c) of tiie CAA. which 

states:"* * • upon a showing 

satisfactory to the Administrator by any 

person that records, reports, or 

information, or a particular part thereof, 

(other than emission data) to which the 

Administrator 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 * * * confidential in accordance 

with the purposes of section 1905 of title 

18 of the United States Code * * *." If 

the Administrator so determines, the 

infonnation is not disdosable to the 

public. 

However, section 114(c) ofthe CAA 

provides that infonnation claimed to be 

a trade secret but which constitutes 

emission data may not be withheld as 

confidential Although typically .the EPA 

evaluates whether infonnation 

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

data will always constitute emission 

data within the meaning of section 

114(c). The purpose of this notice is to 

describe, without attempting to be 

comprehensive, that information which 

the EPA generally considers to be 

emission data, and which cannot qualify 

as confidential under either section 

114(c) or section 110 (as set forth in 40 

CFR 51.321,5L322 and 51.323) of the 

CAA. The EPA is issuing this notice to 

clarify its policy and procedures, to 

facilitate the use of tiiese data in 

automated data systems and computerbased simulation models, and to 

expedite processing of claims for 

confidentiality or requests for 

disclosure. 

The EPA presently determines that 

data submitted to it as emission data 

does not qualify as confidential if It 

meets the following definition under 40 

CFR2J01(a)(2)(i): 

a. Definitions. Forthe purpose of this 

section: (1) Act means the Clean Air 

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

(2)(i) Emission data means, with 

reference to any source of emission of 

any substance into the air— 

(A) Infonnation necessary to 

determine the identity, amount 

frequency, concentration, or other 

characteristics (to the extent related to 

air quality) of any emission which has 

been emitted by the source (or of any 

pollutant resulting from any emission by 

Q 

the source), or any combination of the 

foregoing: 

(B) Infonnation necessary to 

detennine the identity, amount 

frequency, concentration, or other 

characteristics (to the extent related to 

air quality] of the emission which, under 

an applicable standard or limitation, the 

source was authorized to emit 

(including, to the extent necessary for 

such purposes, a description of the 

manner or rate of operatibn of the 

source), or any combination of the 

foregoing: 

(C) A general description of the 

location and/or nature of tha source to 

the extent necessary to identify the 

source and to distinguish It bom other 

sources (including, to the extent 

necessary for such purposes, a 

description of the device. Installation, or 

operation constituting the source). 

The table below Usts the specific data 

fields which the EPA presently 

considers to constitute emission data 

and provides a brief description of what 

each data field describes. Tha 

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 ara needed to establish the Identity and 

location of emission sources, this shall alio 

include a description or an identifier of the 

device, installation, or operation constituting 

the source. These data are uaed to locate 

source* for dispersion evaluation and 

exposure modeling. 

Plant Name and related point identifiers 

Address 

Qty 

County 

AQCR (Air Quality Control Ragion) 

MSA PMSA.CMSA (Metropolitan Statistical 

Areas) 

State 

Zip Code 

Ownership and point of contact Information 

Locational Identifiers: 

Latitats ft Longitude, or UTM Grid 

Coordinates 

SIC (Standard Industrial Classification) 

Emission point device or operation 

desaiptioa. infonnation 

SCC (Source Classification Codes) 

Emissions Parameters: The following data 

fields are needed to establish the 

characteristics of the emissions. This 

information Is needed for the analyses of 

dispersion and potential control equipment 

Emission type 

(e.g- nature of emissions such as CO.), 

particulate or a specific toxic compound. 

and origin of emissions such as process 

vents, storage tanks or equipment leaks) 

Emission rate 
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Federal Register / VoL 56. No. 35 / Thursday, February 21. 1991 / Notices 7Qfl3 

{e.g.. the amount released to the 

atmosphere over time such as kg/yr or 

lbs/hr) 

Release height 

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

pollutant is emitted to the atmosphere) 

Description of terrain end sunounding 

stmctures 

(e.g, the size of die area associated -with 

adjacent structures in square meters and 

terrain descriptions such as 

mountainous, urban, or rural) 

Stack or vent diameter at point of emissions 

(e.g- the Inside diameter of vent at the 

point of emission to the atmosphere in 

meters) 

Release velocity 

(e.g, velocity of release in m/sec) 

Release temperature 

(e.g- temperature of release at point of 

release in degrees Kelvin) 

Frequency of release 

(e.g., how often a release occurs in events 

per year) 

Duration of release 

(e.g., the time associated with a release to* 

the atmosphere) 

Concentration 

(e.g- the amount of en emission stream 

constituent relative to other stream 

constituents expressed as parts per 

million (ppm). volume percent, or weight 

percent) 

Density of the emissions stream or average 

molecular weight 

(e.g- density expressed as fraction or 

multiple of the density of ain molecular 

weight in g/g-mole) 

Boiler or process design capacity 

(e.g., the gross heating value of fuel input to 

a boiler at Its maximum design rate) 

Emission estimation method 

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

estimate has been calculated such as 

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

Percent space heat 

(e.g„ the percent of fuel used for space 

heating) 

Hourly maximum design Tate: 

(e.g- the greatest operating rate that would 

be expected for a S0UIC6 in a 1-hour 

period) 

The EPA has detennined that these 

data are emission data and releasable 

upon request. This determination 

applies to data cunently held by EPA as 

well as to information submitted to EPA 

in the future. Future requests for 

information under sections 110 and 114 

of the CAA will indicate that these 

emission data will not be held 

confidential. This determination applies 

only to the data listed in the table. 

Determinations will continue to be made 

on a case-by-case basis for data not 

specified in this generic determination. 

After consideration of comments on 

this policy, a revised policy/ 

determination may be published. 

Dated: Februaiy fl, 1991. 

Miches! Shapno, 

ActingAssistantAdministratarforAirand 

Radiation. 

[FR Doc. 91-4114 Filed Z-aO-ei; 8:45 am) 

BILLING CODE SSSS-SMS 

(OPP-2O000OA; FRU3879-4] 

Request for Proposals; flesoarch and 

Development on Antimicrobial Tost 

Methodology and Statistical Support 

on Experimental Design .and Data 

Analyais; extension of Proposal 

Deadline 

AOENCV: Environmental Protection 

Agency (EPA], 

ACTION: .Extension of proposal deadline. 

SUMMARY: This notice announces the 

extension of deadline for a Request for 

Proposal that published in die Federal 

Register of December 6,1990. The 

Request for Proposal was published to 

solicit proposals which will result Jn the 

development of a reproducible, reliable, 

and statistically valid sporicidal test 

method used to evaluate the efficacy of 

antimicrobial products bearing sterilizer 

or sporicidal claims. In addition, 

proposals for statistical support to 

independently evaluate tiie 

experimental designs of projects and to 

analyze results from on-going test 

methodology research were also 

solicited. 

OATES: The new deadline for proposal 

submission to the Agency is February 

28.1991. 

ADDRESSES: The original and eight 

copies must be sent to: Grants 

Operations Branch (PM-218F), 

Environmental Protection Agency, 401M 

St., SW.. Washington. DC 2046a One 

copy of the original must be sent to: 

Susan Parker. Registration Division 

(H7505C), Environmenul Protection 

Agency, 401 M St, SW., 2046a 

Application Kits may be obtained from: 

Grants Operations Branch (PM-216F), 

Environmental Protection Agency, 401M 

S t. SW. Washington. DC 2046a at call: 

(202) 382-5286. 

FOR FURTHER JNFORMATJON CONTACT: 

Susan Parker, Registration Division 

(H7505C), Environmental Protection 

Agency. 401M St., SW.. Washington, DC 

20460, Phone number (703) 557-2141. 

SUPPLEMENTARY INFORMATION: EPA 

issued a Request for Proposal in the 

Federal Register of December fi, 1990 (55 

FR 50368). The original submission 

deadline waa January 30,1991; the new 

deadline for proposal submission is 

extended to Februaiy 28,1991. 

Dated: Februaiy IZ 1991. 

Douglas D. Campt 

Director, Office afPetticide Programs. 

[FR Doc. 91-4120 Piled 2-20-91:8:45 am] 

BtuiM eooe«sss-s»# 

(OPP-100841; FRL-3877-«J 

Emergency Exemptions 

AOENCV: Environmental Protection 

Agency (EPA). 

ACTION: Notice. 

SUMMARY: EPA has granted specific 

exemptions for the control of various 

pests to the seven States as listed below 

and one by the United States 

Department of Agriculture. Four crisis 

exemptions were initiated, two by die 

Florida Department of Consumer 

Services and two by the United 9tates 

Department of Agriculture. These 

exemptions, issued during the months of 

November and December, except for the 

one in October, are subject to 

application and timing restrictions and 

reporting requirements designed to 

protect the environment to tiie maximuni 

extent possible. Infonnation on tiiese 

restrictions is available from the contact 

persons in EPA listed below. 

DATES: See each specific and crisis 

exemption for its effective date. 

FOR FURTHER INFORMATION CONTACT: 

See each emergency exemption for the 

name of the contact person. The 

following infonnation applies to all 

contact persons: By mail: Registration 

Division (M7505C). Office of Pesticide 

Programs, Environmental Protection 

Agency, 401M St. SW. Washington. DC 

20480. Office location and telephone 

number Rm. TIB. CM #2.1921 Jefferson 

Davis Highway, Arlington. VA. (703-

557-1806). 

SUPPLEMENTARY INFORMATION: EPA has 

granted specific exemptions to the: 

1. California Department of Food and 

Agriculture for the use of chlorothalonil 

on mushrooms to control verticillium 

diseases; November 14,1990 to 

November 13,1991. (Susan Stanton) 

2. California Department of Food and 

Agriculture for the use of averznectin Bi 

oa celery to control serpentine 

leafminers; November 19,1990, to 

November 18,1991. (Libby Pemberton) 

3. California Department of Food and 

Agriculture for the use of methyl 

bromide on carrots to control 

nematodes; December 21.1990, to 

December 20,1991. (Libby Pemberton) 

4. Idaho Department of .Agriculture for 

the use of pendimethahn on spearmint 

and peppermint to control kochia and 

0 
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Enclosure 4 

* 42t 1 ED n^t'f AENn

 R °NMENTA L

 PROTECTION AGENCY 

\$3 2 / R°1P" °h rW Qua"

tV P,annm9 and

 Standards 

\ ~ '

 Tr,an9,e Park' No"h Carolina 27711 

• OHO" 

(SECTION ill) AND SoS^SL* 0 * "E" STATIONARY SOURCES 

NATIONAL ESSSI0TOTA^J? R S S S ^ . C 2?5 USTI0 N <SEC « 0N 129 " 

Agency for the purpose of assi2fn„ E ^

V 1 ^n n ^t a l *rotection 

national emissiSHtandards Q r £?9 "J

 th e development of 

U.S.C. 7412, standards S perlorS^^ 0 ^

 ai r Poll*tants under 42 

federal ozone measures Snder^fS?S!S.U ^5 (b)^ 3 *

0 ' ?411' an d 

U.S.C^ix^X^Sted StS^Tr* ^- ^

 Cl6a n Ai* A<*' 42 

presentation of this credent!*?

 C ??e Provide s that, upon 

named herein: (l) shall have » i,-^Jf Authorized Representative 

through any premises & which aSlS? °*

 6ntr y t0' u P °n ' o r 

which records required to So J ? emission source is located or in 

(D, are locatel^and (2? £av***ntained «*•* 42 U.S.C. 7414*a) 

and copy any records? inspect anv^ 8 ??^ 6 tine s hav e access to 

required under 42 U.S.c? 7I1J ?"? ???ltori«9 equipment or method 

that the owner or operator or J&'iorfiTS& S S^ l 

•ubj^^STpSSSS^S ^ SV *

 Ad---trator are 

confidentiality^ metoSds L L«*SC*

 7414 (c) "meeting 

trade secrets/as implemented K ^ pitie d to protection as 

September 1, i976) .

 pxenent ed by 40 CFR 2.301 (h) (41 FR 36912, 

Date: AUG 2 5 1992 

Designation Expires: September 30, 1993 . ^ 

_£• John S. seitz 

:*-^. Director 

Office of Air Quality Planning 

and Standards 

10 
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Enclosure 5 

U.S. Environmental Protection Agency 

Office of Air Quality Planning and Standards (OAQPS) 

Emission Standards Oivision (ESO) 

January 1989 

Summary of ESO/OAQPS 

Procedures for Safeguarding Confidential Buliness Infonnation (CBI) 

1. Purpose 

This memorandum describes Agency policy and procedures pertaining to the 

handling and safeguarding of Information that may be entitled to confidential 

treatment for reasons of-business confidentiality by the ESD, OAQPS, Office of 

Air and Radiation, U.S. Environmental Protection Agency. 

2. Other AppHable Documents: 

a. Clean Air Act as amended. 

b. 40 CFR, Chapter I, Part 2, Subpart 8 - Confidentiality of Business 

Information. 

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

d. Clean Air Act Confidential Business Information Security Manual for 

Federal Employees. 

e. Clean Air Act Confidential Business Information Security Manual for 

Contractors. 

3. Exception: 

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

procedures used by the ESO, OAQPS, EPA. Nothing in this document shall be 

construed as superseding or being 1n conflict with any applicable regulations, 

statutes, or policies to which EPA 1s subject. 

4. Definition: 

Confidential Business Information - Information claimed by the provider to 

be confidential. This Information may be Identified with such titles as trade 

secret, secret, administrative secret, company 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. 

il 
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5. Background 

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

"Any records, reports, or information obtained under subsection (a) 

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

to the Administrator by any person that 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 record, 

report, or infonnation or particular portion thereof confidential 

in accordance with,the purposes of Section 1905 of Title 18 of the 

United States Cade,'except that such record, report, or information 

may be disclosed to other officers, employees, or authorized 

representatives of the United States concerned with carrying out 

this Act or when relevant in any proceeding under this Act." 

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

Section 114 of the Clean A1r Act, is governed by Title 40, Part 2, of the Code 

of Federal Regulations. These regulations require EPA offices to include a 

notice with each request for information to inform the business of: (1) Its right 

to assert a claim of confidentiality covering part or all of the information, 

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

claim at time of submission. In addition, the regulations: (1) set forth procedures for the safeguarding of confidential information; (2) contain provisions 

for providing confidential Information to authorized representatives; (3) contain 

provisions for the release of Information to the Congress, Comptroller General, 

other Federal agencies, State and local governments, and Courts; (4) permit the 

disclosure of information 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. Requests for Information 

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

of Section 114(a) s signed by the Division Director. The request Includes ESD's 

standard enclosu-; "EPA's Information Gathering Authority Under Section 114 of 

the Clean A1r A • «h1ch was designed to meet the requirement of 40 CFR Part 2 

discussed above 

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P.M 

b. Receipt of Confidential Business Information 

Upon receipt of infonnation for which confidential treatment has been 

requested, the Office of the Director (OD) directs the logging of the material 

and the establishment of a permanent file . If confidential treatment is requested, 

but is not specifically marked, the material will be stamped "Subject to 

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

that portion is marked "Subject to Confidentiality Claim." In compliance with 

Sections 2.204 and 2.208 of 40 CFR Part 2, the Branch Chief responsible for the 

requested information reviews the information to determine whether it is likely 

to be confidential in contrast to being available in the open literature, 

whether i t 1s emission data, and whether I t likely provides its holder with a 

competitive advantage. If,the information Is clearly not confidential, the 

Branch Chief prepares a letter for signature of the Division Director, ESD, to 

notify the business of this finding. If the information 1s possibly confidential, 

the Branch Chief sends a memorandum to inform the OD, ESD, of this finding, gives 

a brief description of the material (what i t Is, how many pages, etc.), identifies 

i t with the correct ESD project number, and Usts those persons who are authorized 

to have access to the information. The information and memorandum are hand 

carried to the OD and placed in the CBI files with the material. A record of who 

will see the information (Attachment A) Is also filed with the folder containing 

the information. If CBI is received from the owner via an authorized representa*-' 

or a third party, the same procedure is followed, with the addition of clearly 

identifying the information and its source. By regulation, information for which 

confidential treatment is requested must be so marked or designated by the submitter 

The EPA takes additional measures to ensure that the proprietary designation is 

uniformly indicated and immediately observable. All unmarked or undesignated 

information (except as noted below) 1s freely releasable. 

c. Storage of Confidential Business Information 

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

at a minimum, in a combination-locked cabinet. Normal ESD procedure is to secure 

this information In a cabinet equipped with a security bar and locked using a 

four-way, changeable combination padlock. In addition, the entrance door to the 

CBI storage room is equipped with a changeable combination simplex lock. The 

locked files are under the control of the 00. 

Knowledge of the combinations of the locking devices is limited to the Document 

Control Officer (DCO) and the minimum number of persons required to effectively 

maintain normal business operations. Records of the locking device combination 

are stored elsewhere in conformance with the requirements of the EPA Security 

Manual. 

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P.15 

Combinati;• -• the locks are normally changed whenever a person wici 

knowledge of the ; :-.Mnations is transferred, terminates employment, no longer 

authorized access, ir whenever the possibility exists that the combinations 

may have been subject to compromise. 

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

authorized to receive the information. All confidential files must be returned 

no later than 4:00 p.m. on the same day they are removed. The intended user must 

sign the CRI Control Record when the file is checked out. 

The individual who signs out a confidential file is responsible for its 

safekeeping. The file must not be left unattended. The information must not be 

disclosed to any non-authprHzed personnel. 

Storage procedures 'for C8I by an authorized representative of EPA (see 

Section d. below) must be, at a minimum, as secure as those established for EPA 

offices within OAQPS. Whenever CBI is removed from the EPA files to be transmitted 

to an authorized representative, a memorandum 1s placed 1n the file indicating 

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

representative returns a signed receipt to the DCO. 

d. Access to Confidential Business Information 

Only authorized EPA employees may open and distribute CBI. 

Only employees who require and are authorized access "to CRI 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 CBI files are controlled by the OD, ESD, and maintained by a contractor 

cleared for access as an authorized representative. Access to the information is 

limited to those persons having a need to know in performing their offical duties. 

The ESD Rranch having primary Interest in the CBI provides a memorandum for 

the record designating those personnel who are authorized to use CBI in a program 

under which CBI can he requested. No person Is automatically entitled to access 

based solely on grade, position, or security clearance. The names of persons 

granted access to CBI are placed on the Clean Air Act CRI access 11st, which 

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 EPA may be designated authorized 

representatives of EPA if such designation is necessary in order for the contractor 

to carry out the work required by the contract. As authorized representatives, 

14 
P.16 

contractors may be granted access to CBI by the Director, ESD. The following 

conditions apply when it has been determined that disclosure is necessary: 

(1) the-contractor designated as a representative and its employees (a) may 

use such confidential information only for the purpose of carrying out the work 

required, (b) must refrain from disclosing the information to anyone other than 

EPA without having received from EPA prior written approval of each affected 

business or of an EPA legal office, and (c) must return to EPA all copies of the 

information (and any abstracts or excerpts therefrom) upon request or whenever 

the Information Is no longer required for the performance of the work. 

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

written agreement from each-of its employees who will have access to the information 

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

access Is permitted. 

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

the conditions In the contract concerning the use and disclosure of CBI are 

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

business having a proprietary Interest In the information. 

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

employees only upon approval of the Director, ESD. 

Requests for CBI from other Federal agencies, Congress, the Comptroller Gen*-

Courts, etc., are processed by the OD, ESD, in accordance with 40 CFR 2, Subpart 

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

40 CFR 2, Subpart A. The ESD Freedom of Information Coordinator must be consulted 

prior to responding to any request for Information If a claim of confidentiality 

has been asserted or if there is reason to believe that a claim might be made if 

the business knew release was intended. 

e. Use and Disclosure of Confidential Business Information 

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

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

in 40 CFR 2 Subpart B. 

The CBI may not be summarized without the approval of the Project Manager 

responsible for the CBI. Any authorized reproduction shall be provided by the 

CBI office staff. Further, all authorized reproductions must be introduced Into 

the CBI control system and treated according to the same procedures applicable to 

the original confidential material. 

The EPA generated documents or material, or extracts of information containing 

CBI, must be stamped "Subject to Confidentiality Claim" and a cover sheet must be 

attached to identify the material as CBI. 
P.17 

f. Handling of Other Information 

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

representatives are not normally circulated outside EPA for comment or review 

prior to publication except in such cases as described above (6.d.3) wherein C3I 

is expressly included. However, because industrial-data-gathering visits, plant 

inspections, and source testing can involve inadvertent receipt of CBI, it is the 

policy of ESD to protect all parties involved in the following manner. 

Prior to or at the inception of a plant inspection, data-gathering visit, or 

source test, EPA or Its authorized representative discusses with a responsible 

industry official the information sought, how it is to be used, and how 1t Is to 

be protected. A copy of thrs summary is usually provided to the Industry official 

being consulted. -

Following an inspection, visit, or test, a trip report is prepared to include, 

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

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

representative. The draft of that report Is clearly identified, on an attached, 

colored cover sheet as "Confidential Pending Determination." A second copy of 

the draft trip report 1s forwarded by EPA to the responsible Industry official 

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

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

and return the marked up-report to the responsible EPA employee within 2 weeks of 

receipt. The original draft Is kept in the CBI "pending" file until the marked-up 

copy is returned by the business firm. 

When the reviewed copy of the report, as marked by the responsible plant 

official, is received by EPA, information designated confidential Is placed in 

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

edited to delete the confidential Information and to accommodate technical changes, 

and the trip report 1s Issued. 

2 Attachments 

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P.18 

Attachment A 

CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD 

; OATE RECEIVED: ! RESPONSIBLE BRANCH: 

i OATE OF OOCUMENT: ,'OOCUMENT AUTHOR 

CONTROL NUMBER: 

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

RETURN OATE: - DESTRUCTION OATE: 

-

INITIALS: 

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

CHECK-OUT 

SIGNATURE 

• 

OATE 

CHECK-IN 

SIGNATURE 

• 

OATE 

I 

I 

| 

DO NOT DETACH 

CAA Form 1 

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P.19 

Attachment B 

1. AUTHORIZATION FOR ACCESS TO CAA CBI FOR EPA CONTRACTOR EMPLOYEES 

FULL NAME POSITION 

SSN CONTRACTOR 

It is the responsibility of each Authorizing.Of ficlal to ensure that the employees under his/her 

supervision who require access to CAA CBI: 

1. Sign the Confidentiality Agreement for EPA Contractor Employees 

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

3. Obtain access oniy to thatCAA CBI required to perform their official duties 

SIGNATURE OF AUTHORIZING OFFICIAL TELEPHONE NO. OATE 

TITLE LOCATION 

II. CONFIDENTIALITY AGREEMENT FOR EPA CONTRACTOR EMPLOYEES 

I understand that I will have access to certain Confidential Business Information submitted to 

EPA or Its authorized representatives under the Clean Air Aet (CAA). 

This access is granted In accordance with my official duties as.an employee of an Environmental 

Protection Agency contractor. 

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

regulations. I understand that I may face criminal prosecution if | willfully disclose CBI to any 

person not authorized to receive It. In addition, I understand that I may be subject to 

disciplinary action for violation of this agreement with penalties ranging up to and Including 

dismissal. 

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

procedures set forth in the CAA Confidential Business information Security Manual for 

Contractors. 

I have read and understand these procedures. 

SIGNATURE TELEPHONE NO. DATE 

III. HAVING COMPLETED REOUIREO TRAINING ANO PASSED REGUIREO TEST, THE ABOVE-NAMED 

EMPLOYEE IS HEREBY AUTHORIZED TO HAVE ACCESS TO CAA CBI. 

SIGNATURE CBI COCO TELEPHONE NO. OATE 

CAA FORM 2 

/ *