p.1 

OAR Box 1490 

Prepped by Charmelle Mathews 

Document Number: 

37) IV-C-10 

Docket Number: 

A-94-52 

Printed 8/4/2008 11:51:47AM Sheet 37 of 273 
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY <? A-94-52 

i/n/oa 

_ IV-C-10 

Mr. Craig Peterson 

General Counsel 

Xerxes Corporation 

7901 Xerxes Avenue South 

Minneapolis, Minneapolis 55431 

Dear Mr. Peterson: 

EPA AIR DOCKFT 

This letter is to request a visit to the Proforms facility in West Memphis, Arkansas, on 

January 16,2002 by representatives ofthe U.S. Environmental Protection Agency (EPA). 

Visitors will include Mr. Keith Barnett ofthe EPA, and Mr. Ken Meardon, Mr. Frank Meadows, 

and Ms. Susan Cassidy of Pacific Environmental Services (PES). We plan to arrive at the facility 

at 8:00 a.m. This visit was discussed during a telephone conversation between Mr. Keith Barnett 

and you in December 2001. 

We are required by the 1990 Clean Air Act Amendments (the Act) to regulate categories 

of major sources ofthe 188 hazardous air pollutants (HAP) listed in section 112(b) ofthe Act. 

We have identified the reinforced plastics composites manufacturing industry as a category of 

major sources of HAP. The purpose ofthis visit is to specifically gather information on issues 

relating to the cost and technical feasibility of add-on controls. Enclosure 1 presents the 

information we would like to discuss during the site visit. 

Our infonnation gathering authority is included in section 114 of the Clean Air Act 

(42 U.S.C. 7414). Enclosure 2 contains a summary ofthis authority. If you believe that 

disclosure ofthe information we request would reveal a trade secret, you should clearly identify 

such information as discussed in Enclosure 2. Any infoimation 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 we receive it, we may make it available to the public without 

further notice (40 CFR Part 2.2043, September 1,1976). Because section 114(c) ofthe Act 

exempts emissions data from claims of confidentiality, the emissions data you provide may be 

made available to the public. A clarification of what we consider to be emissions data is contained 

in Enclosure 3. 

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

Agency. Therefore, PES has the rights discussed above and in Enclosure 2. As an authorized 

representative ofthe 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. PES's contract 

with EPA is 68-D-01-077. 

CONCURRENCSS 

SYMBOL I 

SURNAME ^ 

OATE ^ kw-oa t-U-*z. 

ERA Form 1320-1A (1/90) , Printed on Recycled Paper OFFICII M. FILE COPY 
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Enclosure 5 summarizes our policies and procedures for handling privileged information 

and describes our commitments and procedures for use of confidential materials. It is our policy 

that compliance by an authorized representative with the requirements detailed in Enclosure 4 

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 tc 

sign such waivers. If you have any questions regarding this refusal, please contact the EPA's 

General and Information Law Division at (202) 260-0020. 

If there are any questions regarding this confirmation, please contact Mr. Keith Bamett at 

(919) 541-5605. 

Sincerely, 

Penny Lassiter 

Group Leader 

Organic Chemicals Group 

Enclosures (5) 

cc: EPA Region VI 

Lindsay Moore, ADEQ/Air Division 

Keith Bamett, EPA/OAQPS 

OAQPS:ESD:OCG:LASSITER:BARNETT:russell:919-541-5416:MD-13:l/ll/02 

g: user: share: OCGtrans:Keith/SiteVisitProforms 1 -07-02.wpd 
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ENCLOSURE 1 

Site Visit to Proform Company, L.L.C. - West Memphis, AR 

The primary objective ofthis visit is to observe the physical layout ofthe manufacturing 

operation including the spray booths, air handling system, materials flows, and location of 

personnel. This information will be used by us to assist in developing a cost estimate to enclose 

the reinforced plastic composite operation with an enclosure that meets the criteria in EPA 

Method 204. During this visit we will potentially be asking some specific questions that will 

assist in this effort. The questions we anticipate are as follows: 

la. If you were required to build permanent total enclosures (PTEs) or convert your building to 

a total enclosure, how would you do it? For example, how would you build individual 

enclosures for each mold area? 

lb. Which, if any, ofthe five Method 204 criteria do you think would make building the above 

PTE or converting the building to a PTE impossible to meet? 

lc. In your comments, you identify issues with each ofthe five Method 204 criteria. How do 

your comments change, if at all, given a scenario in which you are required to have a 100% 

capture enclosure? 

ld. What are the calculations associated with determining the percent of natural draft opening 

(NDO) and the requirement for a 200 feet per minute flow through the NDO? What are the 

calculations showing that criterion 5 cannot be met? 

2a. What percent ofthe total building enclosure do the exterior doors represent? Are these 

included in the NDOs? If not, why not? 

2b. How long are exterior doors open in a typical day? 

2c. What operations are going on when the exterior doors are opened? 

3. Can you discuss more specifically Method 204 enforcement problems that you anticipate? 

4. Can you explain in detail why "the logistics of moving molds and constructing parts within a 

moveable partial enclosure is simply not practical"? 

5. Can you discuss (or show) us how styrene-based filler putty is used and the amount used? 

6. You provided utility costs for your five plants for the Year 2000. What were your utility 

costs for 1997 through 1999 and 2001? How representative are the utility costs in 2000 for the 

last 10 years? Do any of your plants experience special circumstances that might indicate higher 

(or lower) utility rates than might be expected elsewhere? For example, distance from a natural 

gas pipeline or the unavailability of natural gas? 

7. What is the basis (calculations) for the reported air flows and styrene concentrations? 

3 
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ENCLOSURE 1 

Site Visit to Proform Company, L.L.C. - West Memphis, AR 

The primary objective ofthis visit is to observe the physical layout ofthe manufacturing 

operation including the spray booths, air handling system, materials flows, and location of 

personnel. This information will be used by us to assist in developing a cost estimate to enclose 

the reinforced plastic composite operation with an enclosure that meets the criteria in EPA 

Method 204. During this visit we will potentially be asking some specific questions that will 

assist in this effort. The questions we anticipate are as follows: 

la. If you were required to build permanent total enclosures (PTEs) or convert your building to 

a total enclosure, how would you do it? For example, how would you build individual 

enclosures for each mold area? 

lb. Which, if any, ofthe five Method 204 criteria do you think would make building the above 

PTE or converting the building to a PTE impossible to meet? 

lc. In your comments, you identify issues with each ofthe five Method 204 criteria. How do 

your comments change, if at all, given a scenario in which you are required to have a 100% 

capture enclosure? 

ld. What are the calculations associated with determining the percent of natural draft opening 

(NDO) and the requirement for a 200 feet per minute flow through the NDO? What are the 

calculations showing that criterion 5 cannot be met? 

2a. What percent ofthe total building enclosure do the exterior doors represent? Are these 

included in the NDOs? If not, why not? 

2b. How long are exterior doors open in a typical day? 

2c. What operations are going on when the exterior doors are opened? 

3. Can you discuss more specifically Method 204 enforcement problems that you anticipate? 

4. Can you explain in detail why "the logistics of moving molds and constructing parts within a 

moveable partial enclosure is simply not practical"? 

5. Can you discuss (or show) us how styrene-based filler putty is used and the amount used? 

6. You provided utility costs for your five plants for the Year 2000. What were your utility 

costs for 1997 through 1999 and 2001? How representative are the utility costs in 2000 for the 

last 10 years? Do any of your plants experience special circumstances that might indicate higher 

(or lower) utility rates than might be expected elsewhere? For example, distance from a natural 

gas pipeline or the unavailability of natural gas? 

7. What is the basis (calculations) for the reported air flows and styrene concentrations? 

4 
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ENCLOSURE 2 

EPA's Information Gathering Authority 

Under Section 114 of die 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 puipose of 

developing such standards. In addition, die EPA Office of General Counsel has interpreted Section 114 to 

include audiority 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 uiat EPA treat such information as confidential. 

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

Register on September 1, 1976 (40 FR 36902). 

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

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 FAIA regulations: 

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

others; 

2. The extent to which die information has been disclosed to odiers, and die 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. Whedier your company asserts that disclosure of die information would be likely to result in 

substantial harmful effects on the business' competitive position, and if so, what diose harmful 

effects would be, why they should be viewed as substantial, and an explanation of the causal 

relationship between disclosure and such harmful effects. 

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

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

5 
ENCLOSURE 3 

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

P.7 

Dated: February 14, 1991. 

Paul Lapsley, 

Director, Regulatory 

Management Division. 

[FR Doc 91-4113 Filed 2-20-91; 

8:45 am] 

BILLING CODE 8580-50-M 

[AD-FRL-3008-3] 

Disclosure of Emission Data 

Claimed as Confidential Under 

Sections 110 and 114(c) of the 

Clean Air Act 

AGENCY: Environmental 

Protection Agency (EPA). 

ACTION: Notice of policy on 

public release of certain 

emission data submitted under 

sections 110 and 114(c) of the 

Clean 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, as 

such, cannot 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 trade secret 

definition. 

DATES: Written comments 

pertaining to this notice are 

requested by April 22, 1991. 

ADDRESSES: Submit comments to: 

Nancy D. Riley, 

U.S. Environmental Protection 

Agency, Emission Standards 

Division, Pollutant Assessment 

Branch (MD-13), Research 

Triangle Park, NC 27711. 

FOR FURTHER INFORMATION 

CONTACT: Timothy Mohin 

(telephone: (919) 541-5349 

commercial/FTS 629-5349) or 

Karen Blanchard (telephone: 

(919) 541-5503 commercial/FTS 

629-5503), Pollutant 

Assessment Branch (MD-13), 

Emission Standards Division; 

or Thoma6 Rosendahl 

(telephone: (919) 541-5404 

commercial/FTS 629-5404), 

National Air Data Branch 

(MD-14), Technical Support 

Division; U.S. Environmental 

Protection Agency, Research 

Triangle Park, North Carolina 

27711. 

SUPPLEMENTARY INFORMATION: The 

EPA routinely uses the 

authority of sections 110 and 

114(a) of the CAA to gather 

technical information from 

industries involved in 

operations that lead to 

emissions of pollutants to the 

ambient air. This information 

has been used, among other 

things, to better characterize 

emitting facilities and to 

evaluate the need for and *• 

impacts of potential 

regulation. 

Information requests under 

sections 110 and 114(a) of the 

CAA typically 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 information, and 

thus, should be treated as 

confidential. Claims of 

confidentiality may be made 

under section 114(c) of the 

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 eection 

1905 of title 18 of the United 

States Code * * *." If the 

Administrator so determines, 

the information is not 

disclosable to the public. 

However, section 114(c) of 

the CAA provides that 

information claimed to be a 

trade secret but which 

constitutes emission data may 

not be withheld as 

confidential. Although 

typically the EPA evaluates 

whether information 

constitutes emission data on a 

case-by-case basis, it 

believes that some kinds 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 

41 CFR 51.321, 51.322, and 

51.323) of the CAA. The EPA is 

issuing this notice to clarify 

its policy and procedures, to 

facilitate the use of these 

data in automated data systems 

and computer-based 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 CFR 2.301(a) (2) (i) : 

a. Definitions. For the 

purpose of this section, (1) 

Act means the Clean Air Act, 

as amended, 42 U.S.C. 7401 

et seq. (2)(i) EmieBion data 

means, with reference to any 

source of emission of any 

substance into the air— 

(A) Information necessary to 

determine the identity, 

amount, frequency, 

concentration, or other 

characteristics (to the extend 

related to air quality) of any 

emission which has been 

emitted by the source (or of 

any pollutant resulting from 

any emission by the source), 

or any combination of the 

foregoing: 

(B) Information necessary to 

determine 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 

£ 
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• 

0 

J Federal Register / Vol 

such purposes, a description 

of the manner or rate of 

operation of the source), or 

any combination of the 

foregoing. 

(C) A general description of 

the location and/or nature of 

the source to the extent 

necessary to identify the 

source and to distinguish it 

from other sources (including, 

to the extent necessary for 

such purposes, a description 

of the device, installation, 

or operation constituting the 

source). 

The table below lists the 

specific data fields which the 

EPA presently considers to 

constitute emission data and 

provides a brief description 

of what each data field 

describes. The descriptions 

are intended to provide 

general information. This 

list is not exhaustive, and, 

therefore, other data might be 

found, in a proper case, to 

constitute emission data. 

Emission Data Fields 

Facility Identification: The 

following data fields are 

needed to establish the 

identity and location of 

emission sources. This shall 

also include a description or 

an identifier of the device, 

installation, or operation 

constituting the source. These 

data are used to locate 

sources for dispersion 

evaluation and exposure 

modeling. 

Plant Name and related point 

identifiers 

Address 

City 

County 

AQCR (Air Quality Control 

Region) 

MSA, PMSA, CMSA (Metropolitan 

Statistical Areas) 

State 

Zip Code 

Ownership and point of contact 

information 

Locational Identifiers: 

Latitude & Longitude, or UTM 

Grid Coordinate 

SIC (Standard Industrial 

Classification) 

Emission point, device or 

operation description 

information 

SCC (Source Classification 

Codes) 

56. No. 35 / Thursday, February 

Emission 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 C02) , particulate 

or a specific toxic 

compound, and origin of 

emissions such as process 

vents, storage tanks or 

equipment leaks) 

Emission rate 

(e.g., the amount released to 

the atmosphere over time 

such as kg/yr or lbs/yr) 

Release height 

(e.g., height above ground 

level where the pollutant 

is emitted to the 

atmosphere) 

Description of terrain and 

surrounding structures 

(e.g., the size of the 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 

emissions 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 an 

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 air: molecular 

weight in g/g-mole) 

•7 

21, 1991 / Notices 7043 

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., the method by which 

an emission estimate has 

been calculated such as 

material balance, source 

test, use of AP-42 emission 

factors, etc.) 

Percent space heat 

(e.g., the percent of fuel 

used for space heating) 

Hourly maximum design rate 

(e.g., the greatest 

operating rate that would 

be expected for a source in 

a 1-hour period) 

The EPA has determined that 

these data are emission data 

and releasable upon request. 

This determination applies to 

data currently held by EPA as 

well 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. 
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ENCLOSURE 5 December 1995 

Summary of OAQPS 

Procedures for Safeguarding Clean Air Act (CAA) 

Confidential Business Information (CMl) 

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 OAQPS, Office of Air and Radiation, U.S. Environmental 

Protection Agency. 

2. Other Applicable Documents: 

a. Clean Air Act as amended. 

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

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

d. Clean Air Act Confidential Business Information Security Manual (June 1995 

edition). 

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 - 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. 

5. Background 

Section 114 (c) ofthe 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 

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

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purposes of Section 1905 of Title 18 ofthe 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 the U.S. EPA, including data obtained under Section 114 of 

the Clean Air Act, is governed by Title 40, Part 2, ofthe 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 ofthe 

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 infonnation 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 ofthe 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 

Office ofthe Director (OD) directs the logging ofthe material and the establishment ofa 

permanent file. If confidential treatment is requested, but is not specifically marked, the material 

will be stamped "Subject to Confidentiality Claim." If part ofthe 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 Group Leader 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 it is emission data, and whether it 

likely provides its holder with a competitive advantage. Ifthe information is clearly not 

confidential, the Group Leader prepares a letter for signature ofthe Division Director, ESD, to 

notify the business ofthis finding. Ifthe information is possibly confidential, the Group Leader 

sends a memorandum to inform the OD, ESD, ofthis finding, gives a brief description ofthe 

material (what it is, how many pages, etc.), identifies it with the correct ESD project number, 

and lists 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 CAA CBI is received from the owner via an authorized representative or a 
p.11 

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) is freely 

releasable. 

c. Storage of CAA Confidential Business Information 

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

minimum, in a combination-locked cabinet. Normal procedure is to secure this information is 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 ofthe OD. 

Knowledge ofthe combinations ofthe locking devices is limited to the Document 

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

normal business operations. Records ofthe locking device combination are stored elsewhere in 

conformance with the requirements ofthe EPA Security Manual. 

Combinations ofthe locks are normally changed whenever a person with knowledge of 

the combinations is transferred, terminates employment, no longer authorized access, or 

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 may be returned no later than 4:30 p.m. on the 

same day they are removed. The intended user must sign the CBI 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-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, 

notation is placed in the file indicating what information was transmitted, the date, and the 

recipient. The authorized representative returns a signed receipt ofthe DCO. 

d. Access to CAA Confidential Business Information 

Only authorized EPA employees may open or distribute CAA CBI. 

Only employees who require 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. 

lo 
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The CBI files are controlled by the OD, ESD, and managed by an authorized federal 

employee. Access to the information is limited to those persons having a need to know in 

performing their official duties. 

The Group Leader having primary interest in the GAA CBI provides a memorandum for 

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

CBI can be requested. 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 Clean Air Act CBI access list, 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 the 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, contractors may be granted 

access to CAA 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 ofthe information (and any abstracts or excerpts therefrom) upon 

request or whenever the information is no longer required for the performance ofthe work. 

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

written 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 ofthe Director, ESD. 

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

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

Requests under the Freedom of Information Act 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 ifthe business knew release was intended. 

e. Use and Disclosure of CAA Confidential Business Information 
P.13 

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

memoranda, etc., that become a part ofthe public domain, except as provided for in 40 CFR 2 

Subpart B. 

The CAA CBI may not be summarized without the approval ofthe 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. 

The EPA generated documents or material, or extracts of information containing 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 above (6.d.3) wherein CBI is expressly included. 

However, because industrial-data-gathering 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. 

Prior to or at the inception ofa 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 ofthis 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 ofthat report 

is clearly identified, on an attached, colored cover sheet as "Confidential Pending 

Determination." A second copy ofthe 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 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 ofthe 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 ofthe trip report is edited to delete the confidential information and to 

accommodate technical changes, and the trip report is issued. 

2 Attachments 

V 
P.M 

Attachment A 

CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD 

DATE RECEIVED: 

DATE OF DOCUMENT: 

RESPONSIBLE BRANCH: CONTROL NUMBER: 

DOCUMENT AUTHOR: 

DESCRIPTION (Providing organization, title, subject, number of copies and number of pages) 

RETURN DATE: DESTRUCTION DATE: INITIALS: 

Each person given access to this document must fill in the information below 

CHECK-OUT 

SIGNATURE DATE TIME 

CHECK-IN 

SIGNATURE DATE TIME 

CAA CBI Form 1 (Rev. 6/95) 

l3 
P.15 

Attachment B 

1. AUTHORIZATION FOR ACCESS TO CAA CBI CONTRACTOR EMPLOYEES 

FULL NAME 

SSN 

POSITION 

CONTRACTOR 

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

access to CAA CBI: 

1. Sign the Confidentiality Agreement for EPA Employees 

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

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

SIGNATURE OF AUTHORIZATION OFFICIAL* 

TITLE 

TELEPHONE NO. DATE 

LOCATION 

H. CONFIDENTIALITY AGREEMENT FOR 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 Act (CAA). This access is granted in accordance with my official duties as an 

employee of the 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 am liable for a possible fine of up to $1,000 and/or imprisonment for up to 1 year if I willfully disclose CAA 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 I will follow the procedures set forth in 

the CAA Confidential Business Information Security Manual. 

I have read and understand these procedures. 

SIGNATURE TELEPHONE NO. DATE 

HI. HAVING COMPLETE REQUIRED TRAINING AND PASSED REQUIRED TEST, THE ABOVE-NAMED 

EMPLOYEE IS HEREBY AUTHORIZED TO HAVE ACCESS TO CAA CBI. 

SIGNATURE CONTRACTOR/DCO TELEPHONE NO. DATE 

H