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 Ai r Act (CAA), the Environmental Protection Agency (EPA) is requesting that you provide the information described in this letter. This Information Collection Request (ICR) is be ing conducted by the EPA Office of Air and Radiation (OAR) to assist the EPA Administrator in conducting he r review obligations pursuant to CAA sections 111(b)(1)(B), 112(d)(6) and 112(f)(2) with respect to the pe troleum 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 th e CAA. On April 11, 2002, the EPA issued NESHAP for catalytic cracking uni ts, catalytic reforming units, and sulfur recovery units at petroleum refineries (40 CFR pa rt 63, subpart UUU) under section 112 of the CAA. As required under CAA sections 111 and 112, EPA must revi ew, and revise as necessary, promulgated emission standards at least every 8 years to acco unt for developments in practices, processes and control technologies. Additionally, under C AA section 112, EPA must consider whether residual risks remain that warrant more stringe nt standards than achie ved through the maximum achievable control technology (MACT) standar d, and specifically whether more stringent standards are required to provide an ample margin of safety to prot ect public health or to prevent
an adverse environmental effect. In additi on to the review activiti es 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 provide d by the individual refineries will be used for EPA’s NESHAP residual risk and technology re view (RTR) as well as EPA’s review and
reconsideration of the new sour ce performance standards (NSPS).2

This ICR has four components: (1) an elec tronic survey; (2) an emissions inventory; (3) sampling and testing of the feed to your di stillation column; and (4) emissions testing. However, emissions testing (Compone nt 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 th e Energy Information Agency, you will need to complete these components separately for each of these petroleum refineries. Please contact Ms. Brenda Shine of my st aff at (919) 541-3608 or shine.brenda@epa.gov to obtain a separate Facility ID if one was not provided under se parate cover for this additional facility.

The first component is a survey that request s information on each petroleum refinery that you operate. We are asking you to report informati on 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 ex isting 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 electronica lly, please contact Ms. Brenda Shine to discuss other options for data submission.

The second component is an emissions inve ntory. 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 i nventory in electronic form for your petroleum refinery and submit the informati on 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 sample s of the crude oil (or other petroleum stream first processed) or sample s 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 m onth 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 pe troleum 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 pollu tants (HAP) and criteria pollutants according to the test prot ocols 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 inform ation 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 secr et, or would compromise confidential business3

information (CBI), please identify this inform ation clearly in your response and submit your response as detailed in the next section. Also, please clearly la bel any flow diagrams or other attachments submitted with your survey that c ontain 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 fo r facilities claiming larg e amounts of information as trade secret, especially information that is readily reported by other fa cilities 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, subpa rt B, will be protected pursuant to those regulations and, for trade secr ets, 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 conf identiality. A clarification of what the EPA considers to be
emission data is contained in Enclosure 2.

We have contracted Research Triangle In stitute (RTI) (Contract No. EP-D-06-118) to help us gather information about your petroleu m refinery, to conduct the survey, and analyze the survey data, sampling results, a nd emissions test results. As noted in Enclosure 3, we have designated RTI to be our author ized representative. Theref ore, 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, sampli ng results, and emissions test results. As a designated representative of the Agency, RTI is subject to the provisi ons 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 re quired to use the same procedures as we do. Because our contractors or other authorized representa tives 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 informa tion, 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, Pe troleum Refinery Sector Lead
109 T.W. Alexander Drive Research Triangle Park, NC 27711

If your ICR response includes any confiden tial business information (CBI) then you MUST mail the full response for that compone nt to EPA on CD-ROM or DVD-ROM disk under separate cover to the attention of Mr. Roberto Morales at the a ddress below. Clearly mark the
disk and/or the materials with the words “Confid ential Business Information” and send either via U.S. Postal Service Express Mail, regi stered mail, or private courier to:

U.S. Environmental Protection Agency Office of Air Quality Pl anning 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 s hould 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 comple te 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 mean ingful standards. Your help in providing this information is greatly appreciated.

Sincerely,

Peter Tsirigotis Director, Sector Policies and Programs Division

Office of Air Quality Pl anning and Standards5

4 Enclosures

Enclosure 1: EPA’s information gath ering authority (sec tion 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, a nd 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 Ai r Act (CAA), the Environmental Protection Agency (EPA) is requesting that you provide the information described in this letter. This Information Collection Request (ICR) is be ing conducted by the EPA Office of Air and Radiation (OAR) to assist the EP A Administrator in rule devel opment pursuant to CAA sections 111 and 112 with respect to the petroleum refineri es 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 th e CAA. On April 11, 2002, the EPA issued NESHAP for catalytic cracking uni ts, catalytic reforming units, and sulfur recovery units at petroleum refineries (40 CFR pa rt 63, subpart UUU) under section 112 of the CAA. As required under CAA sections 111 and 112, EPA must revi ew, and revise as necessary, promulgated emission standards at least every 8 years to acco unt for developments in practices, processes and control technologies. Additionally, under C AA section 112, EPA must consider whether residual risks remain that warrant more stringe nt standards than achie ved through the maximum achievable control technology (MACT) standar d, and specifically whether more stringent standards are required to provide an ample margin of safety to prot ect public health or to prevent
an adverse environmental effect. In additi on to the review activiti es 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 provide d by the individual refineries will be used for EPA’s NESHAP residual risk and technology re view (RTR) as well as EPA’s review and
reconsideration of the new sour ce performance standards (NSPS).2

This ICR has four components: (1) an elec tronic survey; (2) an emissions inventory; (3) sampling and testing of the feed to your dist illation 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 report s 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 co ver for this additional facility.

The first component is a survey that request s information on each petroleum refinery that you operate. We are asking you to report informati on 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 ex isting 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 electronica lly, please contact Ms. Brenda Shine to discuss other options for data submission.

The second component is an emissions inve ntory. 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 i nventory in electronic form for your petroleum refinery and submit the informati on 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 sample s of the crude oil (or other petroleum stream first processed) or sample s 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 m onth 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 pe troleum 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 sour ces 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 te st 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 opera ting or emission control characteristics, please
contact Ms. Brenda Shin e 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 appr oval 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 testi ng to assist in the planning and to ensure that you address all of the testing and reporting requirement s. A site-specific test plan addresses the planning and quality assurance and quality control procedures and acceptance criteria for all of the testing including th e collection of process data. The document Preparation and Review of Site-Speci fic Emission Test Plans , March 1999 (available at http://www.epa.gov/ttn/emc/guidlnd/gd-042.pdf ) provides guidance on prepar ing 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 re sults. We also request that you notify your state air regulatory agency or designa ted 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 al ready. 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 re ported 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 inform ation 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 secr et, or would compromise confidential business information (CBI), please identify this inform ation clearly in your response and submit your response as detailed in the next section. Also, please clearly la bel any flow diagrams or other attachments submitted with your survey that c ontain 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 fo r facilities claiming larg e amounts of information as trade secret, especially information that is readily reported by other fa cilities 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, subpa rt B, will be protected pursuant to those regulations and, for trade secr ets, 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 conf identiality. A clarification of what the EPA considers to be
emission data is contained in Enclosure 2.

We have contracted Research Triangle In stitute (RTI) (Contract No. EP-D-06-118) to help us gather information about your petroleu m refinery, to conduct the survey, and analyze the survey data, sampling results, a nd emissions test results. As noted in Enclosure 3, we have designated RTI to be our author ized representative. Theref ore, 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, sampli ng results, and emissions test results. As a designated representative of the Agency, RTI is subject to the provisi ons 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 re quired to use the same procedures as we do. Because our contractors or other authorized represen tatives 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 informa tion, 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, Pe troleum Refinery Sector Lead
109 T.W. Alexander Drive Research Triangle Park, NC 27711

If your ICR response includes any confiden tial business information (CBI), then you MUST mail the full response for that compone nt to EPA on CD-ROM or DVD-ROM disk under separate cover to the attention of Mr. Roberto Morales at the a ddress below. Clearly mark the
disk and/or the materials with the words “Confid ential Business Information” and send either via U.S. Postal Service Express Mail, regi stered mail, or private courier to:

U.S. Environmental Protection Agency Office of Air Quality Pl anning 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 s hould 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 comple te and submit the emissions inventory (Component 2) by June 30, 2011. Please submit the distillation column sampling results and the emissions test results (Com ponents 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 mean ingful standards. Your help in providing this information is greatly appreciated.

Sincerely,

Peter Tsirigotis Director, Sector Policies and Programs Division

Office of Air Quality Pl anning and Standards

4 Enclosures

Enclosure 1: EPA’s information gath ering authority (sec tion 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, a nd 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), Congr ess 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 Sec tion 1 1 0 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 Coun sel 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, re quest that EPA treat such information as confidential.
Information obtained under Section 114 a nd 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, s ubstantive criteria to be used in su ch 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 Informati on 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 confidentia l 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 agains t 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 positi on, and if so, what those harmful effects would be, why they should be viewed as substantial, and an expl anation of the causal relationship between disclosure and
such harmful effects.Enclosure 2Enclosure 4



## Summary of OAQPS Procedures for Safeguar ding Clean Air Act (CAA) Confidential Business Information (CBI)

December 2009

1. Purpose:

This memorandum describes policies and proced ures set forth by the Office of Air Quality Planning and Standards (OAQPS) for the handling of informa tion claimed as Confidential Business Information (CBI), whether submitted vol untarily 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 St andards Confidential Business Information Security Manual (January 2009)

3. Exception:

This document was prepared as a summary of data gathering a nd handling procedures used by the OAQPS, EPA. Nothing in this document shal l be construed as superseding or being in conflict with any applicable regulations, stat utes, or policies to wh ich EPA is subject.

4. Definition:

Confidential Business Information (CBI) - In formation claimed by the provider to be confidential. This information may be identified with such titles as trade secret, secret, administrative secret, company secret, secret pr oprietary, privileged, admi nistrative confidential, company confidential, confiden tial proprietary, or proprietary . NOTE: These markings should
not be confused with the classi fication markings of National Secu rity 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 satisfactor ily showing to the Administrato r by any person that records, reports, or information, or partic ular 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 Admi nistrator shall consider such records, report, or information or particular portion thereof conf idential 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 Ac t or when relevant in any proceeding under this
Act.”

The treatment of CBI by EPA, including data obtain ed under Section 114 of the Clean Air Act, is governed by 40 CFR, Part 2. These regulations requi re 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 me thod for asserting a claim, and (3) the effect of
failure to assert a claim at time of submi ssion. In addition, the regulations: (1) set forth procedures for the safeguarding of confidential information; (2) contai n provisions for providing confidential information to authorize representati ves; (3) contain provisio ns for the release of information to the Congress, Comptroller Gene ral, other Federal agen cies, 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) pr ohibit 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 info rmation 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 include s 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 Confiden tial Business Information

Upon receipt of information for which confid ential treatment has been requested, the OAQPS Document Control Officer (DCO) logs in the material and a permanent file is established. If part of the ma terial is claimed to be conf idential, that portion should be marked “Subject to Confid entiality Claim.” In complian ce 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 th e confidentiality claim as prescribed by the sections. If the information is clearly not c onfidential, the Group Lead er prepares a letter3 for the signature of the responsible Divisi on Director to notify the business of this finding.

Information claimed as confidential is ha nd carried to the OAQPS CBI Office to be logged into the OAQPS CAA CBI tracking sy stem 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 pe rsons 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 info rmation must be so marked or designated by the originator. EPA takes additional measures to ensure that the propr ietary designation is uniformly indicated and immediately obser vable. All unmarked or undesignated information (except as noted below) ma y be authorized for public release.

c. Storage of CAA Confiden tial Business Information

Folders, documents, or material containi ng CAA CBI (as defined) shall be secured,
within the confines of the in structions listed in the OAQPS Security Manual. In addition, the CBI storage area has been identified specif ically for this purpose and is equipped with supplementary locking devices. The storage area and files are under th e direct control of the OAQPS DCO.

Access to the storage area is limited to th e 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 individua l is authorized to
receive the information. All c onfidential files must be returned no la ter than close of business on the same day. The intended user must sign the CBI Control Record when checking out files.

Individuals signing out confiden tial files are respons ible 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 author ized 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 notatio n is made in the file’s control record and transf er log indicating what information was transmitted, the date, and the recipient. The authorized representative returns a si gned receipt to the DCO.

d. Access to CAA Confidential Business Information

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 in the performance of their official duties are permitted to review documents and, upon receiving a confidential document, mu st sign and date the form shown in Attachment A to certify their access to the document.

The Group Leader having primary responsibilit y 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 grad e, position, or security clearance. The names of persons granted access to CAA CBI are pl aced 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 au thorized representatives, contra ctors may be granted access to CAA CBI. The following conditions apply when it has been determ ined that disclosure is

necessary:

(1) The contractor designate d as a representative and its employees (a) may use such confidential information only for the purpos e of carrying out the work required, (b) must refrain from disclosing the info rmation to anyone other than EPA without having received from EPA prior written appr oval 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 reque st 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 designate d as an authorized represen tative must agree that the conditions in the contract concerning the use and disclosu re of CAA CBI are included for the benefit of, and shall be enforceable by, both EPA and any affected business having a proprietary in terest in the information.

Information may be released to or accesse d 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 Ac t (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 cla im of confidentiality has been asserted or if there is reason to believe that a claim might be made if the business kne w 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 th e 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 EP A which contain CAA CBI must be stamped “Subject to Confidentiality Claim” and a cove r 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 fo r comment or review prior to publication except in such cases as described in secti on 6 above. However, because industrial-datagathering visits, plant inspect ions, and source testing can in volve inadvertent receipt of CAA CBI, it is the policy of OAQPS to prot ect 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 repres entative discusses with a re sponsible 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 th e industry official being consulted.

(2) Following an inspection, visit, or test, a trip report is prep ared to include, as practicable, all information received by EPA or its authorized representative during the visit or test. The report may be pr epared by either EPA or its authorized representative. The draft repor t is clearly identified, with an attached, yellow cover sheet. A second copy of the dr aft trip report is forwarde d by EPA to the responsible industry official for review. The responsible industry official is requested by cover letter to review the report, clearly ma rk 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)