Section 114 letter sent to refineries not selected to complete Component 4 

[OMB Control Number 2060-0657] 

March 31, 2011 

<ContactFullName> 

<Title> 

<CompanyName> 

<Address> 

<City>, <State> <Zip> 

Dear <ContactSalutationName>: 

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

Agency (EPA) is requesting that you provide the information described in this letter. This 

Information Collection Request (ICR) is being conducted by the EPA Office of Air and 

Radiation (OAR) to assist the EPA Administrator in conducting her review obligations pursuant 

to CAA sections 111(b)(1)(B), 112(d)(6) and 112(f)(2) with respect to the petroleum refineries as 

described below. EPA requests that you complete the ICR as described in this letter for your 

petroleum refinery (NAICS code 324110). 

On March 8, 1974, the EPA issued Standards of Performance for Petroleum Refineries 

(40 CFR part 60, subpart J) under section 111 of the CAA. On June 24, 2008, EPA promulgated 

amendments to the Standards of Performance for Petroleum Refineries and issued new standards 

of performance for petroleum refinery process units constructed, reconstructed, or modified after 

May 14, 2007 (40 CFR part 60, subpart Ja). On August 18, 1995, the EPA issued National 

Emission Standards for Hazardous Air Pollutants (NESHAP) for petroleum refineries (40 CFR 

part 63, subpart CC) under section 112 of the CAA. On April 11, 2002, the EPA issued 

NESHAP for catalytic cracking units, catalytic reforming units, and sulfur recovery units at 

petroleum refineries (40 CFR part 63, subpart UUU) under section 112 of the CAA. As required 

under CAA sections 111 and 112, EPA must review, and revise as necessary, promulgated 

emission standards at least every 8 years to account for developments in practices, processes and 

control technologies. Additionally, under CAA section 112, EPA must consider whether 

residual risks remain that warrant more stringent standards than achieved through the maximum 

achievable control technology (MACT) standard, and specifically whether more stringent 

standards are required to provide an ample margin of safety to protect public health or to prevent 

an adverse environmental effect. In addition to the review activities required under CAA 

sections 111 and 112, the EPA is also addressing issues that were raised in petitions for 

reconsideration on 40 CFR part 60, subpart Ja, including addressing greenhouse gases at new and 

existing sources and reconsideration of emission limits for certain refinery process units. The 

process information and emission data sets provided by the individual refineries will be used for 

EPA’s NESHAP residual risk and technology review (RTR) as well as EPA’s review and 

reconsideration of the new source performance standards (NSPS).
2 

This ICR has four components: (1) an electronic survey; (2) an emissions inventory; 

(3) sampling and testing of the feed to your distillation column; and (4) emissions testing. 

However, emissions testing (Component 4) is not required for this facility. This letter and the 

Refinery ICR website (https://refineryicr.rti.org) provide information on each of these 

components. Your Facility ID is <FacilityID>. If your petroleum refinery reports the integrated 

production of two non-contiguous refineries to the Energy Information Agency, you will need to 

complete these components separately for each of these petroleum refineries. Please contact Ms. 

Brenda Shine of my staff at (919) 541-3608 or shine.brenda@epa.gov to obtain a separate 

Facility ID if one was not provided under separate cover for this additional facility. 

The first component is a survey that requests information on each petroleum refinery that 

you operate. We are asking you to report information on processes, control devices, and control 

costs for each facility. The survey also requests copies of existing test reports for your petroleum 

refinery processes. You can access the survey response database on the Refinery ICR website 

(https://refineryicr.rti.org). Please complete the survey in electronic form for your petroleum 

refinery and submit the completed surveys and existing emissions test data and information no 

later than May 31, 2011, using one of the submittal options noted below. If there is a limiting 

factor that precludes you from submitting your data electronically, please contact Ms. Brenda 

Shine to discuss other options for data submission. 

The second component is an emissions inventory. We request that you provide air 

pollutant emissions information and data as described in the Emission Estimation Protocol for 

Petroleum Refineries at your petroleum refinery. You can access a copy of the Emission 

Estimation Protocol for Petroleum Refineries on the Refinery ICR website 

(https://refineryicr.rti.org). Please complete the emissions inventory in electronic form for your 

petroleum refinery and submit the information no later than June 30, 2011, using one of the 

submittal options noted below. 

The third component is sampling and testing of the feed to your distillation column (or 

first processing unit). We request that you collect representative samples of the crude oil (or 

other petroleum stream first processed) or samples from the line feeding the distillation column, 

composite these samples, and analyze the composite sample. Conduct this sampling and analysis 

on three separate occasions, approximately one month apart, for each unique distillation feed and 

submit the results as described on the Refinery ICR website (https://refineryicr.rti.org). Please 

complete the sampling and analysis for your petroleum refinery and submit the results in 

electronic format no later than August 31, 2011, using one of the submittal options noted below. 

The fourth component of this ICR requires testing and reporting of emissions and other 

test data from refinery emissions sources for specific hazardous air pollutants (HAP) and criteria 

pollutants according to the test protocols provided on the ICR website (https://refineryicr.rti.org). 

As noted above, you have not been selected to complete emissions testing for any units at your 

refinery. 

EPA’s legal authority to obtain the information requested in the survey and through 

emissions testing is contained in Section 114 of the CAA, as amended (42 U.S.C. §7414). 

Enclosure 1 contains a summary of this authority. If you believe that providing any specific 

information to us would reveal a trade secret, or would compromise confidential business 
3 

information (CBI), please identify this information clearly in your response and submit your 

response as detailed in the next section. Also, please clearly label any flow diagrams or other 

attachments submitted with your survey that contain CBI. However, please do not label your 

entire response as CBI if only a portion includes trade secrets. The EPA is likely to follow-up 

with a request for validation of CBI claims for facilities claiming large amounts of information 

as trade secret, especially information that is readily reported by other facilities without such 

claims. Any information EPA subsequently determines to constitute CBI or a trade secret under 

EPA’s CBI regulations at 40 CFR part 2, subpart B, will be protected pursuant to those 

regulations and, for trade secrets, under 18 U.S.C. 1905. If no claim of confidentiality 

accompanies the information when it is received by EPA, it may be made available to the public 

by EPA without further notice pursuant to EPA regulations at 40 CFR 2.203. 

Because Clean Air Act (CAA) section 114(c) exempts emission data from claims of 

confidentiality, the emission data you provide will be made available to the public 

notwithstanding any claims of confidentiality. A clarification of what the EPA considers to be 

emission data is contained in Enclosure 2. 

We have contracted Research Triangle Institute (RTI) (Contract No. EP-D-06-118) to 

help us gather information about your petroleum refinery, to conduct the survey, and analyze the 

survey data, sampling results, and emissions test results. As noted in Enclosure 3, we have 

designated RTI to be our authorized representative. Therefore, RTI has the same rights 

discussed above and in Enclosure 1. This means that RTI will have access to all information 

provided to us in your completed survey, sampling results, and emissions test results. As a 

designated representative of the Agency, RTI is subject to the provisions of 42 U.S.C. §7414(c) 

respecting confidentiality of methods or processes entitled to protection as trade secrets. 

Enclosure 4 summarizes our policies and procedures for handling trade secret 

(confidential) information and describes how our contractor also is required to use the same 

procedures as we do. Because our contractors or other authorized representatives are required to 

follow the requirements in Enclosure 4, we believe that we can ensure your rights and protect 

any privileged information you submit to us. 

We are asking you to submit your non-confidential survey and test data in one of the 

following ways: 

• Upload your files to the following Refinery ICR website 

(https://refineryicr.rti.org). You will need to register before you can upload your 

files to this website. You will be prompted to enter a user name and password 

and provide your name, contact information, and the company and facility for 

which you are uploading an ICR response. As noted above, your Facility ID is 

<FacilityID>. 

• E-mail an electronic copy of all requested files to refineryicr@epa.gov. 

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

address shown below. If no electronic copy is available, mail a hard copy of all 

requested files to the address shown below: 
4 

U.S. Environmental Protection Agency 

Office of Air Quality Planning and Standards 

Sector Policies and Programs Division 

U.S. EPA Mailroom (D205-01) 

Attention: Brenda Shine, Petroleum Refinery Sector Lead 

109 T.W. Alexander Drive 

Research Triangle Park, NC 27711 

If your ICR response includes any confidential business information (CBI) then you 

MUST mail the full response for that component to EPA on CD-ROM or DVD-ROM disk under 

separate cover to the attention of Mr. Roberto Morales at the address below. Clearly mark the 

disk and/or the materials with the words “Confidential Business Information” and send either via 

U.S. Postal Service Express Mail, registered mail, or private courier to: 

U.S. Environmental Protection Agency 

Office of Air Quality Planning and Standards 

U.S. EPA Mailroom (C404-02) 

Attn: Mr. Roberto Morales, Document Control Officer (Project 09-01) 

109 T.W. Alexander Drive 

Research Triangle Park, NC 27711 

Additionally, if you are submitting CBI on CD-ROM or DVD-ROM disk, you must 

submit a non-CBI version of your survey response using one of the three methods listed above 

for non-CBI responses. DO NOT SEND CONFIDENTIAL BUSINESS INFORMATION TO 

EPA BY EMAIL, BY OR FAX MACHINE OR TO THE WEBSITE.

Questions regarding this information request should be directed to Ms. Brenda Shine at 

(919) 541-3608 or shine.brenda@epa.gov. Please complete and submit the survey response 

(Component 1) by May 31, 2011. Please complete and submit the emissions inventory 

(Component 2) by June 30, 2011. Please submit the distillation column sampling results 

(Component 3) by August 31, 2011. 

I am sure you understand how vital it is for the EPA to use the very best information 

available to develop the most meaningful standards. Your help in providing this information is 

greatly appreciated. 

Sincerely, 

Peter Tsirigotis 

Director, Sector Policies and Programs Division 

Office of Air Quality Planning and Standards 
5 

4 Enclosures 

Enclosure 1: EPA’s information gathering authority (section 114 of the CAA) 

Enclosure 2: Clarification of what EPA considers to be emissions data 

Enclosure 3: Summary of contractor’s authority as representative of EPA 

Enclosure 4: Procedures for safeguarding CBI under the CAA 

cc: <State cc name, title, and agency> (without enclosures) 

 <EPA Regional cc name, title, and agency> (without enclosures) 
Section 114 letter sent to refineries selected to complete Component 4 

[OMB Control Number 2060-0657] 

March 31, 2011 

<ContactFullName> 

<Title> 

<CompanyName> 

<Address> 

<City>, <State> <Zip> 

Dear <ContactSalutationName>: 

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

Agency (EPA) is requesting that you provide the information described in this letter. This 

Information Collection Request (ICR) is being conducted by the EPA Office of Air and 

Radiation (OAR) to assist the EPA Administrator in rule development pursuant to CAA sections 

111 and 112 with respect to the petroleum refineries as described below. EPA requests that you 

complete the ICR as described in this letter for your petroleum refinery. 

On March 8, 1974, the EPA issued Standards of Performance for Petroleum Refineries 

(40 CFR part 60, subpart J) under section 111 of the CAA. On June 24, 2008, EPA promulgated 

amendments to the Standards of Performance for Petroleum Refineries and issued new standards 

of performance for petroleum refinery process units constructed, reconstructed, or modified after 

May 14, 2007 (40 CFR part 60, subpart Ja). On August 18, 1995, the EPA issued National 

Emission Standards for Hazardous Air Pollutants (NESHAP) for petroleum refineries (40 CFR 

part 63, subpart CC) under section 112 of the CAA. On April 11, 2002, the EPA issued 

NESHAP for catalytic cracking units, catalytic reforming units, and sulfur recovery units at 

petroleum refineries (40 CFR part 63, subpart UUU) under section 112 of the CAA. As required 

under CAA sections 111 and 112, EPA must review, and revise as necessary, promulgated 

emission standards at least every 8 years to account for developments in practices, processes and 

control technologies. Additionally, under CAA section 112, EPA must consider whether 

residual risks remain that warrant more stringent standards than achieved through the maximum 

achievable control technology (MACT) standard, and specifically whether more stringent 

standards are required to provide an ample margin of safety to protect public health or to prevent 

an adverse environmental effect. In addition to the review activities required under CAA 

sections 111 and 112, the EPA is also addressing issues that were raised in petitions for 

reconsideration on 40 CFR part 60, subpart Ja, including addressing greenhouse gases at new and 

existing sources and reconsideration of emission limits for certain refinery process units. The 

process information and emission data sets provided by the individual refineries will be used for 

EPA’s NESHAP residual risk and technology review (RTR) as well as EPA’s review and 

reconsideration of the new source performance standards (NSPS).
2 

This ICR has four components: (1) an electronic survey; (2) an emissions inventory; 

(3) sampling and testing of the feed to your distillation column; and (4) emissions testing that 

must be completed for the process(es) described later in this letter. This letter and the Refinery 

ICR website (https://refineryicr.rti.org) provide information on each of these components. Your 

Facility ID is <FacilityID>. If your petroleum refinery reports the integrated production of two 

non-contiguous refineries to the Energy Information Agency, you will need to complete these 

components separately for each of these petroleum refineries. Please contact Ms. Brenda Shine 

of my staff at (919) 541-3608 or shine.brenda@epa.gov to obtain a separate Facility ID if one 

was not provided under separate cover for this additional facility. 

The first component is a survey that requests information on each petroleum refinery that 

you operate. We are asking you to report information on processes, control devices, and control 

costs for each facility. The survey also requests copies of existing test reports for your petroleum 

refinery processes. You can access the survey response database on the Refinery ICR website 

(https://refineryicr.rti.org). Please complete the survey in electronic form for your petroleum 

refinery and submit the completed surveys and existing emissions test data and information no 

later than May 31, 2011, using one of the submittal options noted below. If there is a limiting 

factor that precludes you from submitting your data electronically, please contact Ms. Brenda 

Shine to discuss other options for data submission. 

The second component is an emissions inventory. We request that you provide air 

pollutant emissions information and data as described in the Emission Estimation Protocol for 

Petroleum Refineries at your petroleum refinery. You can access a copy of the Emission 

Estimation Protocol for Petroleum Refineries on the Refinery ICR website 

(https://refineryicr.rti.org). Please complete the emissions inventory in electronic form for your 

petroleum refinery and submit the information no later than June 30, 2011, using one of the 

submittal options noted below. 

The third component is sampling and testing of the feed to your distillation column (or 

first processing unit). We request that you collect representative samples of the crude oil (or 

other petroleum stream first processed) or samples from the line feeding the distillation column, 

composite these samples, and analyze the composite sample. Conduct this sampling and analysis 

on three separate occasions, approximately one month apart, for each unique distillation feed and 

submit the results as described on the Refinery ICR website (https://refineryicr.rti.org). Please 

complete the sampling and analysis for your petroleum refinery and submit the results in 

electronic format no later than August 31, 2011, using one of the submittal options noted below. 

The fourth component of this ICR requires testing and reporting of emissions and other 

test data from your refinery’s emissions sources for specific hazardous air pollutants (HAP) and 

criteria pollutants according to the test protocols provided on the ICR website 

(https://refineryicr.rti.org). You have been selected to test the <ProcessUnitTested> at your 

refinery. If you have more than one of these units with similar operating and emission control 

characteristics at your refinery, you may select the one you wish to test. If you have more than 

one of these units and they have different operating or emission control characteristics, please 

contact Ms. Brenda Shine at (919) 541-3608 or shine.brenda@epa.gov for guidance on which 

unit we require to be tested. You must complete and submit test results no later than August 31, 

2011. Process and emissions testing data must be reported using the EPA Electronic Reporting 

Tool (ERT) where applicable. 
3 

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

However, we believe that it is highly advisable for each facility subject to emissions testing as 

part of this ICR to prepare a site specific test plan prior to testing to assist in the planning and to 

ensure that you address all of the testing and reporting requirements. A site-specific test plan 

addresses the planning and quality assurance and quality control procedures and acceptance 

criteria for all of the testing including the collection of process data. The document Preparation 

and Review of Site-Specific Emission Test Plans, March 1999 (available at 

http://www.epa.gov/ttn/emc/guidlnd/gd-042.pdf) provides guidance on preparing test plans. In 

addition, the EPA ERT Version 3, in which EPA requires that data be reported, requires that a 

test plan be entered into the program prior to submitting test results. We also request that you 

notify your state air regulatory agency or designated permitting authority at least 21 days before 

the requested stack tests are scheduled to begin. 

You may have submitted test data for some of these pollutants already. If you have 

conducted any of the requested groups of tests (i.e., any complete set of tests required to be 

conducted simultaneously) in the past 5 years and reported the data in Part V of this ICR survey, 

you are not required to do additional testing for those pollutants. 

EPA’s legal authority to obtain the information requested in the survey and through 

emissions testing is contained in Section 114 of the CAA, as amended (42 U.S.C. §7414). 

Enclosure 1 contains a summary of this authority. If you believe that providing any specific 

information to us would reveal a trade secret, or would compromise confidential business 

information (CBI), please identify this information clearly in your response and submit your 

response as detailed in the next section. Also, please clearly label any flow diagrams or other 

attachments submitted with your survey that contain CBI. However, please do not label your 

entire response as CBI if only a portion includes trade secrets. The EPA is likely to follow-up 

with a request for validation of CBI claims for facilities claiming large amounts of information 

as trade secret, especially information that is readily reported by other facilities without such 

claims. Any information EPA subsequently determines to constitute CBI or a trade secret under 

EPA’s CBI regulations at 40 CFR part 2, subpart B, will be protected pursuant to those 

regulations and, for trade secrets, under 18 U.S.C. 1905. If no claim of confidentiality 

accompanies the information when it is received by EPA, it may be made available to the public 

by EPA without further notice pursuant to EPA regulations at 40 CFR 2.203. 

Because Clean Air Act (CAA) section 114(c) exempts emission data from claims of 

confidentiality, the emission data you provide will be made available to the public 

notwithstanding any claims of confidentiality. A clarification of what the EPA considers to be 

emission data is contained in Enclosure 2. 

We have contracted Research Triangle Institute (RTI) (Contract No. EP-D-06-118) to 

help us gather information about your petroleum refinery, to conduct the survey, and analyze the 

survey data, sampling results, and emissions test results. As noted in Enclosure 3, we have 

designated RTI to be our authorized representative. Therefore, RTI has the same rights 

discussed above and in Enclosure 1. This means that RTI will have access to all information 

provided to us in your completed survey, sampling results, and emissions test results. As a 

designated representative of the Agency, RTI is subject to the provisions of 42 U.S.C. §7414(c) 

respecting confidentiality of methods or processes entitled to protection as trade secrets. 
4 

Enclosure 4 summarizes our policies and procedures for handling trade secret 

(confidential) information and describes how our contractor also is required to use the same 

procedures as we do. Because our contractors or other authorized representatives are required to 

follow the requirements in Enclosure 4, we believe that we can ensure your rights and protect 

any privileged information you submit to us. 

We are asking you to submit your non-confidential survey and test data in one of the 

following ways: 

• Upload your files to the following Refinery ICR website 

(https://refineryicr.rti.org). You will need to register before you can upload your 

files to this website. You will be prompted to enter a user name and password 

and provide your name, contact information, and the company and facility for 

which you are uploading an ICR response. As noted above, your Facility ID is 

<FacilityID>. 

• E-mail an electronic copy of all requested files to refineryicr@epa.gov. 

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

address shown below. If no electronic copy is available, mail a hard copy of all 

requested files to the address shown below: 

U.S. Environmental Protection Agency 

Office of Air Quality Planning and Standards 

Sector Policies and Programs Division 

U.S. EPA Mailroom (D205-01) 

Attention: Brenda Shine, Petroleum Refinery Sector Lead 

109 T.W. Alexander Drive 

Research Triangle Park, NC 27711 

If your ICR response includes any confidential business information (CBI), then you 

MUST mail the full response for that component to EPA on CD-ROM or DVD-ROM disk under 

separate cover to the attention of Mr. Roberto Morales at the address below. Clearly mark the 

disk and/or the materials with the words “Confidential Business Information” and send either via 

U.S. Postal Service Express Mail, registered mail, or private courier to: 

U.S. Environmental Protection Agency 

Office of Air Quality Planning and Standards 

U.S. EPA Mailroom (C404-02) 

Attn: Mr. Roberto Morales, Document Control Officer (Project 09-01) 

109 T.W. Alexander Drive 

Research Triangle Park, NC 27711 

Additionally, if you are submitting CBI on CD-ROM or DVD-ROM disk, you must 

submit a non-CBI version of your survey response using one of the three methods listed above 

for non-CBI responses. DO NOT SEND CONFIDENTIAL BUSINESS INFORMATION TO 

EPA BY EMAIL, BY OR FAX MACHINE OR TO THE WEBSITE.
5 

Questions regarding this information request should be directed to Ms. Brenda Shine at 

(919) 541-3608 or shine.brenda@epa.gov. Please complete and submit the survey response 

(Component 1) by May 31, 2011. Please complete and submit the emissions inventory 

(Component 2) by June 30, 2011. Please submit the distillation column sampling results and the 

emissions test results (Components 3 and 4) by August 31, 2011. 

I am sure you understand how vital it is for the EPA to use the very best information 

available to develop the most meaningful standards. Your help in providing this information is 

greatly appreciated. 

Sincerely, 

Peter Tsirigotis 

Director, Sector Policies and Programs Division 

Office of Air Quality Planning and Standards 

4 Enclosures 

Enclosure 1: EPA’s information gathering authority (section 114 of the CAA) 

Enclosure 2: Clarification of what EPA considers to be emissions data 

Enclosure 3: Summary of contractor’s authority as representative of EPA 

Enclosure 4: Procedures for safeguarding CBI under the CAA 

cc: <State cc name, title, and agency> (without enclosures) 

 <EPA Regional cc name, title, and agency> (without enclosures) 
*

Section 114 requires public availability of all emission data and authorizes disclosure of confidential

 information in certain circumstances. See 40 FR 36902 - 36912 (September 1, 1976)

(Rev. 12/8/95)

Enclosure 1

EPA’s Information Gathering Authority

Under Section 114 of the Clean Air Act

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

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

development of any implementation plan under Section 110 or 111(d), any standard of performance under

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

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

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

operators of emission sources to submit information reasonably required for the purpose of developing such

standards. In addition, the EPA Office of General Counsel has interpreted Section 114 to include authority to

photograph or require submission of photographs of pertinent equipment, emissions, or both.

Under Section 114, EPA is empowered to obtain information described by that section even if you

consider it to be confidential. You may, however, request that EPA treat such information as confidential. 

Information obtained under Section 114 and covered by such a request will ordinarily be released to the public

only if EPA determines that the information is not entitled to confidential treatment.*

 Procedures to be used for

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

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

on September 1, 1976 (40 FR 36902).

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

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

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

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

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

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

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

connection therewith;

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

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

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

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

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

such harmful effects.
Enclosure 2

Enclosure 3
Enclosure 4 

Summary of OAQPS 

 Procedures for Safeguarding Clean Air Act (CAA) 

Confidential Business Information (CBI) 

December 2009 

1. Purpose: 

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

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

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

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

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

regulations. 

2. Reference Documents: 

a. Clean Air Act as amended. 

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

c. EPA Information Security Manual 2195A1 

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

Security Manual (January 2009) 

3. Exception: 

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

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

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

4. Definition: 

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

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

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

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

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

Executive Order 11652. 
2 

5. Background: 

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

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

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

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

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

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

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

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

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

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

Act.” 

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

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

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

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

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

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

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

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

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

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

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

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

(5 U.S.C. 552). 

6. Procedures: 

a. Request for Information 

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

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

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

meet the requirement of 40 CFR Part 2 discussed above. 

b. Receipt of CAA Confidential Business Information 

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

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

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

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

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

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

sections. If the information is clearly not confidential, the Group Leader prepares a letter 
3 

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

finding. 

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

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

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

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

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

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

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

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

uniformly indicated and immediately observable. All unmarked or undesignated 

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

c. Storage of CAA Confidential Business Information 

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

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

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

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

the OAQPS DCO. 

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

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

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

Operations and Resources (CORE). 

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

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

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

checking out files. 

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

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

personnel. 

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

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

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

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

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

representative returns a signed receipt to the DCO. 

d. Access to CAA Confidential Business Information 

Only authorized EPA employees may open or distribute CAA CBI. 
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Only employees who require, have a need to know and are authorized access to CAA 

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

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

Attachment A to certify their access to the document. 

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

the DCO designating those personnel authorized to access specific CBI. NO person is 

automatically entitled to access based solely on grade, position, or security clearance. The names 

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

access list indicates the “specific” CBI each person is permitted to see. The Access List is 

reviewed and updated periodically. 

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

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

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

necessary: 

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

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

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

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

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

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

longer required for the performance of the work. 

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

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

information. 

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

before access is permitted. 

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

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

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

business having a proprietary interest in the information. 

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

only upon approval of the Director, CORE. 

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

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

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

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

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

there is reason to believe that a claim might be made if the business knew release was intended. 
5 

e. Use and Disclosure of CAA Confidential Business Information 

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

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

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

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

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

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

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

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

material as CBI. 

f. Handling of Other Information 

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

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

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

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

manner: 

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

EPA or its authorized representative discusses with a responsible industry official 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

confidential information and the trip report is authorized for release. 

Attachments (2)