UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

RESEARCH TRIANGLE PARK, NC 27711 

Stephen Aldridge 

Knauf Insulation Corporation 

One Knauf Drive 

Shelbyville, Indiana 46176 

Dear Mr. Aldridge: 

June 25, 2015 

Pursuant to section 114 of the Clean Air Act (CAA), the U.S. Environmental Protection Agency (EPA) 

is requesting that you provide the information described in Enclosure 1 to this letter. This Information 

Collection Request (ICR) is being conducted by the EPA Office of Air and Radiation to assist the EPA 

Administrator in conducting her review obligations pursuant to CAA sections 112(d)(2) and 112(d)(3) 

with respect to the wool fiberglass manufacturing source category. The EPA understands that your 

company, Knauf Insulation Corporation, owns and operates wool fiberglass manufacturing facilities 

(NAICS code 327993). 

On June 14, 1999, the EPA issued National Emission Standards for Hazardous Air Pollutants 

(NESHAP) for wool fiberglass manufacturing (40 CFR part 63, subpart NNN) under section 112 of the 

CAA. These standards set emission limits for formaldehyde and regulated phenol and methanol using 

formaldehyde as surrogate. 

The EPA has been reviewing the MACT limits for formaldehyde, methanol, and phenol, which are 

emitted from wool fiberglass bonded lines using phenol/formaldehyde resin binders. The 2010 industry 

voluntary survey provided information on emissions of these pollutants from bonded lines. However, we 

have subsequently learned that the use of phenol/formaldehyde binders has mostly been discontinued on 

rotary spin (RS) lines, but that at least one RS line using phenol/formaldehyde resin still operates within 

each wool fiberglass company. The EPA proposed emission limits for RS lines inN ovember 2011, April 

2013, and November 2014, but did not finalize these emission limits in the final rule due to the noted 

changes in the industry since the time the data were first collected. 

As required under CAA sections 112(d)(2) and 112(d)(3), the EPA must establish MACT standards for 

each emitted pollutant from each of the listed source categories. Therefore, we are issuing another CAA 

section 114 ICR to collect additional emissions data for the selected emission sources specified in 

Enclosure 1. 

This CAA section 114 ICR is divided into two parts. Part I requests information on all RS lines operated 

by your company that manufacture any wool fiberglass building insulation using a phenol/formaldehyde 

binder, the binder formulations, the end products and all control device information. Part II of this ICR 

will require source testing at all RS lines producing a wool fiberglass product with a 

phenol/formaldehyde binder. Part I is enclosed with this letter. Because the emission test methods to be 
2 

used at wool fiberglass facilities are under discussion at this time, and because Part II relies on your 

responses to Part I, it will follow this letter within 60 days. 

The information contained in Part I ofthis ICR is information we believe is readily available at each 

wool fiberglass facility, and you do not need to commence new emissions testing activities to provide 

the information in Part I in a timely manner to the EPA. As such, we are requesting you return Part I of 

this ICR to us within 30 days from the postmark date of this letter. Part II will include the timeline for 

submitting responses to Part II and instructions for completing that part. 

The EPA is requesting that you provide the information described in this letter and Enclosure 1 for 

each of your wool fiberglass manufacturing facility to the applicable addresses. If a facility is part of 

another company or is separately incorporated as a subsidiary or affiliate of your company, do not 

complete any of these enclosures for that facility. Instead, please notify us immediately of this fact. 

The EPA's legal authority to obtain the information requested in the survey is contained in Section 114 

ofthe CAA, as amended (42 U.S.C. §7414). Enclosure 2 contains a summary ofthis authority. lfyou 

believe that disclosure of any specific information that you submit would reveal a trade secret, clearly 

identify such specific information as confidential. Please do not label an entire response "confidential" if 

only certain portions consist of trade secret information. Refer to Enclosure 2 for the information the 

EPA may require, at a later time, to support your confidentiality claims. Any information subsequently 

determined to constitute a trade secret will be protected under 18 U.S.C. §1905. If no claim of 

confidentiality accompanies the information when it is received by the EPA, the information may be 

made available to the public by the EPA without further notice (40 CFR §2.203(a)(2)). See 40 CFR part 

2, subpart B, for the EPA's regulations regarding the confidentiality of business information. Because 

section 114( c) of the CAA exempts emission data from claims of confidentiality, the emission data you 

provide may be made available to the public. A clarification of what the EPA considers to be emission 

data is contained in Enclosure 3. 

We have contracted Eastern Research Group (ERG) (EPA Contract No. EP-W-12-006) to help us gather 

information about your wool fiberglass manufacturing operations, conduct the survey and analyze the 

survey data, sampling results, and emissions test results. As noted in Enclosure 4, we have designated 

ERG to be our authorized representatives. Therefore, ERG has the same rights discussed above and in 

Enclosure 2. This means that ERG will have access to all information provided to us in your completed 

Part I of this survey; as well as sampling results and emissions test results provided to us in response to 

Part II ofthis survey. As a designated representative of the Agency, ERG 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 5 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 5, 

we believe that we can ensure your rights and protect any privileged information you submit to us. 
Please mail the completed non-confidential survey response on CD-ROM or DVD-ROM disk to the 

address below. 

U.S. EPA Office of Air Quality Planning and Standards 

Sector Policies and Program Division, Metals and Minerals Group 

Mail Code D243-02 

Attn: Ms. Susan Fairchild 

109 T.W. AJe:(<.ander.Drive 

Research Triapgle.pru:k, fJ'G 27711\_ ,. 

If you would prefer, you inay electronically subipit to the following Wool Fiberglass ICR Website: 

http://projects.erg.com/woolfiberglass/. If you choose to access and use the website, enter the following 

user ID and password information when prompted: 

User ID: fiberglass 

Password: 2015Survey 

If you are submitting confidential business information (CBI) as described in Enclosure 2, then this 

information must be mailed to the EPA on CD-ROM or DVD-ROM disk under separate cover to the 

attention of Ms. Katrina Chambers 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: Ms. Katrina Chambers, Document Control Officer (Project 481) 

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 also submit a nonCBI version of your survey response to the mailing address listed above. DO NOT SEND 

CONFIDENTIAL BUSINESS INFORMATION TO THE EPA BY EMAIL OR FAX MACHINE OR 

TO THE WEBSITE. 
If you have questions regarding this request, please contact Ms. Susan Fairchild, Metals and Minerals 

Group, at (919) 541-5167 or fairchild.susan@epa.gov. Please return to Ms. Fairchild the completed 

survey response to Part I of the survey by August 20, 2015. 

Thank you for your assistance in this effort. 

Sincerely, 

Sector Policies and Programs Division , 

Enclosures: 

Enclosure 1: Part I of the Wool Fiberglass Survey 

Enclosure 2: EPA's information gathering authority (section 114 of the CAA) Enclosure 3: Clarification 

of what EPA considers to be emissions data 

Enclosure 4: Summary of contractor's authority as representative of EPA 

Enclosure 5: Procedures for safeguarding CBI under the CAA 

cc: EPA Regions 
Enclosure 1: 

RS Line Data for Part I 

Of the Section 114 ICR Response 

.
PART I: ROTARY SPIN (RS) LINE QUESTIONNAIRE 

Section 1.1: Facilities Manufacturing Wool Fiberglass Product Using a PhenolFormaldehyde Binder 

For each wool fiberglass manufacturing facility operated by your company, please provide the 

name and address of each facility that operates an RS line that is permitted to produce a wool 

fiberglass building insulation product using a phenol/formaldehyde binder and provide an 

identification for each RS line. [Insert additional rows in the table as necessary.] 

Facility 

Facility Mailing RSLine 

C.om]tany t<fame Facility Name Facility_ City State A:.ddrcss m 

Section 1.2: RS Line Process Information 

For each RS line identified in Section 1.1 above, please provide the process information 

requested in the table below. [Insert additional rows in the table as necessary.] 

Annual Product 

Proiluction Density F ree'Formaldehyde Recommended 

RS Line Product Ra"fe (Specify 'Product LOJ (Specify Content Of Resin Product End 

lD Name Un·its) (%·) Units) ·(Specify UnitS)' s~(S) 
Section 1.3: Control Device(s) on RS Lines 

For each RS line identified in Section 1.2, please describe all control device( s) used to reduce 

emissions from the line, the target pollutant(s), pollutant-specific control device efficiency, and 

the basis for the efficiency estimate (e.g., vendor specification, test data). [Insert additional 

columns in the table as necessary.] Also, please provide a schematic showing the RS line 

emissions points and the control device(s) used to reduce emissions from those points. 

Control Device ID 

Om'trol DevieeDescliiption 

RS Line II))(~) Vented to the Control De~ice 

PQU'utanf(S) Controlled Jby Device 

Polluta'nt.,Spe-cific Gontrol Efiicie1acy 

:1Basis. f.oTo Conti ol Efficiency 

P'at·a·meter(s) Monitorc.d to A:ssess Colltrol De,•ice 

Ope..ation 

Date Control De~ice Installed on RS Line 
Enclosure 2: 

EPA's Information Gathering Authority 
EPA 1

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 llOor lll(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 photogmphs 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.1 Proce<iures 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 (4{) 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 p<lSsession 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 infonnation to 

support your claim as required by§ 2.204(e)(4) of EPA's FOlA 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 :u;serts 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. 

1 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). 
Enclosure 3: 

Clarification of What EPA Considers 

Emissions Data 
Federal Register I Vol. 56 No. 3S I Thursday, February Z1, 1991/Notices 

Page 7042 

{AD-FRL-3906~3] 

Disclosure of Emission Data Claimed as Confidential Under Sections It 0 and I J4(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 ll4(c) of the Clean Air Act (CAA). 

SUMMARY: Section 114{c) ofthe CAA excludes emission data from the general definition of 

trade secret infonnation. Certain classes of data submitted to the EPA under sections ll 0 and 

114(a) of the CAA are emission data, and, as such, cannot be withheld from disclosure as 

confidential pursu1111t to section 1905 of title 18 of the United States Code. TI1is notice clarifies 

EPA's current policy, and s~>licits conmlenl regarding that policy and categories of data which it 

consi<iers e)Cduded from a trade secret definition. 

DATES: Written comments pertaining to this notice ure requested by April22, !99J. 

ADDRESSES: Submit comments to: Nancy D. Riley, U.S. Environmental Protection Agency, 

Emission StandW'dS Division, PpUutant Assenment Branch (MD-13), Research Triangle Park, 

NC 27711. 

FOR FURTHER INf'ORMATION CONTACT: Timothy Mohin (telephone: (919) 541-5349 

commercial/FfS 629-5349) or Karen Blanchard (telephone; (919) 541-5503 commercial/FTS 

629-5503), Pollutant Assessment Branch (MD·I3), Emission Standards Divirion; or Thomas 

Rosendahl (telephone: (919} 541-5404 commerciai/FTS 62!>-5404), National Air Data Branch 

(MD-14), Technical Support Division: U.S. Enviromnental Prote<ltion Agency, Research 

Triangle Park, North Carolina 27711. 

SUPPLEMENTARY JNFORMA TION: The EPA routinely uses the authority of sections 110 

and 114{a) of the CAA to gather technical information trom industries involved in operations 

that lead to emission of pollutants to the ambient air. This infonnation has been used, among 

other things, to better characterize emitting facilities and to evaluate the need for a:nd impacts of 

potential regulation. 

(Page 1 ofS) 
Federal Register I Vol. So No. 35/ Thursday, February 21, 1991/Notice.s 

Page 7042 (Continued) 

Information req ucsts under sections n 0 and 114(a) of the CAA typically include questions 

on uncontrolled and controlled emission rates and emission parameters of the pollutant 

or group ofpollutani.S of concern. The respondents sometimes claim that its response constitutes 

trade secret information, and thus, sh<Juld be treated as confidential. Claims of confidentiality 

may be made under!ection 114(c) of the CAA, which states: "*" • • upon a showing satisfactory 

to the ·Administrator by any person that records, reports, or in.fonnation, or a parti.cu:lar part 

thereof, (other than emission data) to which the Administrator has access under this section if 

made public, would divulge methods or processes ~ntitled to protection as trade secrets of such 

person, the Administrator shall consider such • • • confidential in accordance with the purposes 

of section I 90S of title 18 ofthe United States Code • • •."lflbe Administrator so determines, 

lhe infonnution is not disclosable to the public. 

However, section ll4(c) of the CAA provides !hat inJormation churned to be a trade accret 

but which constitutes emission data may not be withheld ns confidential. Although typically the 

EPA evaluates whether information constitutes emission data on a case-by-case basis, it believes 

that some kinds of data wiJI always constitute emission data within the meaning of section 

114(c}. The pUlf:lOSe 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 U4(c) or liection 110 (as set fortb in 40 CFR S1.32l, 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 expedi le prQcessing of claims for confidentiality or requests for disclosure. 

The EPA presently decennines that data submitted 10 it as emission data docs not qualify as 

confitl'ential ifit meets the following definition under 40 CFR 2.301 (a)(2)(i): 

a. Definitions. for the purpose ofthis section: (l) Act means the Clean Air Act, as 

amended, 42 U.S.C. 7401 et seq. (2)(i) EmiSsion data means, with reference. to any source of 

emission of any substance into the air---

(A} Infonnation necessary to detennine the identity, amount, frequency, concentration, or 

other characteristics (tQ the extent related to air quali1y) of {my emission which has been emitted 

by the source (or of any pollut.ant 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 exlent 

(Page2 ofS) 
Federal Register I Vol. 5.6 No. 351 Tbursday, Februa.ry 21, 1991/Notices 

~ge 7041 (Coatiaued) 

necessary for such purposes, a description of the manner or rate of operation of the source), or 

any combination of the foregoing; 

(C} A gcneraJ description oftbtJ location and/or nature of the source to the extent nece&sary 

to identify the source and to distinguish 1t &om olher sources. (including, to the extent 

necessary for such purposes, a description of lhe 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 

deacriptions are intended to provide general information. This list is not exhaW~tive and, 

therefore, other data might be found, in a propc,.-r case, to constitute emis~ion data. 

Emission Data Fields 

Facility ldentification: The fQtlowing data fields are needed to establish the identity and 

loeadon of emission sources, this sbaH also include a description or lU1 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 Stl'ltislical ARa$) 

State 

Zip Code 

Ownership and point ofc~ntact intormation 

Locational Identifiers.: 

Latitude and Longitude, or UTM Grid Coordinates 

SIC (Standard Industrial Classification) 

Emission point, device or operation description, information 

SCC (Source Classification Codes) 

Emissions Parameters: The following data fields arc needed to establish the cluu'acieristies 

of the emissions. This information is needed for the analyses of dispersion and potential control 

equipment. 

(Page 3 ofS) 
Federal Register f Vol. 56 No. 35 I Thursday, February 21, 1Sl911Nutic:es 

Pa;e 7042 (ContiDucd) 

EmiS$iOn type 

(e.g .• nature of emissions such as C01), pan.iculale or a specific toxic compound. and 

origin of emi:lsions such as process voots, stor11ge tanks or equipment leaks) 

Emission rate Eod of Page 1042 

(e.g., the amount released to the atmosphere over time sueh as kw'yr or lbs/hr) 

Release height 

(e.g., height above ground level where the pollutant is emitted to the atmosphere) 

Description of terrain and surrounding structures 

(e.g., thf: size of the area associated with adjacent structures in square meters and terrain 

descriptions such as mountainow:, urban, or rural) 

Stack or vent diameter at point of emissions 

(e.g., the inside diameter of vent at the point of emission to the atmosphere in meters) 

Release velocity 

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

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 &Iteam constituent relative to other stream constituents 

expressed as parts per million (ppm), volume pc.:rcent, or weight pcn:ent) 

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 

gig· mole) 

Boiler or process design capacity 

(e.g., the gross beating 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 cmi"ssion factors, etc.) 

Percent space heat 

(e.g., the percent of fuel used for ipace heating) 

Hourly maximum design rat~: 

(Page 4 of5) 

= 
FederalRepter I Vol. 56 No. 35 /Thursday, Jl'ebtuaryll, l9!li1N odces 

(e.g., tb~ great eat t>pera&ing rate: thai would be expected for a sourc~ in a 1 ..,hour period) 

The EPA haJ detennin~lhat tb*'d$t•$'eOtni$$ipn d'~and.-eleaatblc~n request. 

This detmnination applies to data curtJ.mtly held by EPA liS well a& to information submitted to 

EPA in tho futtn. Futuro requests fur inftmnation under sections ll 0 attd 114 ofthe CAA witt 

indicate that these emission d<lta wiU !lOt be held confidential. This detenninatton applies only to 

tho data listed in the table. Delerminalions will !!Onli'nue to be made Oi) a case~by~ca&e b~is for 

data nol specified in flU$ aeneric detennination. 

Aftm' CQn$ideratilil~l Qfi)OJI:IJllents on this policy, a ~vi~ed polilq'/dcten:nination may be 

published. 

Dated: FebrUary 8. 19'91. 

Micl1aelShapiro1 

Acting Asifi&tcmi AdminiJtracor forAir and Radiation. 

(PageS of5) 

j• 
Enclosure 4: 

Summary of Contractor's 

Authority as Representative 

Of the EPA 
UNITED STATES ENVIRONMENTAl-PROTECTION AGENCY 

RESEARCH lRIANGI..EPARK, NC .2 7. 711 

OFFICE OF AIR 

QUALITY 

PLANNING AND 

DESIGNATION OF AUTHORIZED REPRESENTATIVE STANDARDS 

FOR STANDARDS OF PERFORMANCE FOR NEW STATIONARY SOURCES 

(SECTION I I 1 ), NATIONAL EMISSION STANDARDS FQR HAZARDOUS AIR 

POLLLTANTS (SECTION 112).SOLID WASTE COMBUSTION (SECTION .129), 

AND FEDERAL OZONE MEASURES (SECTION 183) 

Under EPA contract EPD12001 EC/R, (prime contractor) Research Triangle 

Institute, Eastern Research Group, lnc., MACTEC, ICF International, SRA International, 

BCS Incorporated, Fnergy Strategies, LLC, Alpha Gamma Technologies, Inc., Clark 

Allen, and Mary Jo Caldwell, (subcontractors) are hereby designated Authorized 

Representatives ofthe Administrator of the United States Environmental Protection 

Agency for the purpose of assisting in the development of standards of performance for 

new stationary sources under42 U.S.C. 7411, national emission standards for hazardous 

air pollutants under 42 U.S. C. 7412, solid waste combustion under 42 U.S.C. 7429. and 

Federal ozone measures under 42 U.S.C. 7511 (b). 

This designation is made pursuant to the Clean Air Act, 42 U.S.C. 7414. The 

United States Code provides that, upon presentation of this credential, the Authorized 

Representatives named herein: (I) shall have a right of entry to, upon, or through any 

premises in which an emission source is located or in which records req ui.red to be 

maintained under 42 U.S.C. 7414 (a) ( l) are located and (2) may at reasonable times have 

access to and copy any records, inspect any monitoring equipment or method required 

under42 U.S. C. 7414 (a) (I },and sample any emissions that the owner or operator of such 

source is required to sample. 

Authorized Representatives of the Adminil>'trator are subject to the provisions of 

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

protection as trndesecrets, as implement~ by40 CFR 2.301 (h) (41 FR 36912, 

September 1, 1976). 

Date: 12/20/11 

Enclosure+ 
Enclosure 5: 

Procedures for Safeguarding CBI Under the CAA 
1. Purpose 

January 2002 

Summary of Procedures for 

Safeguarding Clean Air Act 

Confidential Business Information 

Enclosure 5" 

This memorandum describes U.S. Environmental Protection Agency (EPA), Office of 

Air Quality Planning and Standards (OAQPS) policy and procedures set forth for the handling of 

information claimed as Confidential Business Information (CBI), whether submitted voluntarily 

or obtained under Section 114 of the Clean Air Act (CAA). and governed by EPA regulations in 

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

policies. 

2. Reference Documents: 

a. Clean Air Act, as amended. 

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

c. EPA Information Security ManuaL 

d. Clean Air Act Confidential Business Information Security Manual (January 2002). 

3. Exception: 

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

used by the OAQPS of the 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. 
2 

5. Background 

Section 114 (c) of the CAA, 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 infonnation, or particular part thereof (other than emission data), to which the 

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

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

record, report, or 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 ofCBI by EPA, including data obtained under Section 114 of the CAA, is 

governed by 40 CFR Part 2. These regul11tions 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 clairn, and (3) the effect of 

failure to assert a claim at time of submission. rn add1tion, 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 ofinformation within EPA to employees with 

an official need for the infonnation, 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 

(FOIA) (5 U.S.C. 552). 

6. Pa·ocedures: 

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 Infonnatioli 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 ofCAA CBI. 

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 infonnation 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 for the signature of 
3 

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. A 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. 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) may be authorized for public release. 

c. Storage of CAA CBI. 

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

according to the instructions listed in the OAQPS Security Manual. In addition, the CBI storage 

area that has been identitied specifically for that purpose is equipped with a supplementary 

locking device. The storage area and files are under the direct control of the OAQPS DCO. 

Access to the storage area is limited to the DCO, Document Control Assistant, and the 

minimum number of persons required to effectively maintain nonnal business operations as 

directed by the Director, Planning, Resources, and Regional Management Staff (PRRMS). 

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

receive the information. All confidential files must be returned no 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 ofEP A (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 infonnation was 

transmitted, the date,. and the recipient. The authorized representative returns a signed receipt to 

theDCO. 

d. Access to CAA CBI. 

Only authorized El' A employees may open or distribute CAA CBI. 

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 confidenti~l document, must sign and date the form shown in Attachment A to certifY 

their access to the document. 

The Grou.p Leader having primary responsibility for the CAA CBI provides a 

memorandum to the DCO designating those personnel authorized to access specific CBI. No 
4 

person is automatically entitled to access based solely on grade, position, or security clearance. 

The names of persons granted access to CAA CBI are pl~ed 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 

necessacy: 

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

confidential information only for the pwpose 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 there from) upon request or 

whenever the information is no longer required for the perfonnance of the work. 

(2) The authorize<~ contractQr'designated as a representative must obtain a written 

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

copy of each employee agreement (Attachment B) must he 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. 

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

employees only upon approval of the Director, PRRMS. 

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

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

Requests under the FOIA are handled in accordance with 40 CFR Part 2, Subpart A. The 

FOIA Coordinator must be consulted prior to responding to any request for infonnation if a 

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

made if the business knew release was intended. 

e. Use and Disclosure ofCAA CBI. 

The CAA CBI, as defmed, may not be used in publications, supporting documentation, 

memoranda, etc., that become a part of the public domain, except as provided for in 40 CFR Part 

2, Subpart B. The 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. 
5 

f. Handling of Other lnfonnation. 

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

are not nonnally circulated outside EPA for comment or review prior to publication except in 

such cases as described in section 6 above. However, because industrial-data-gathering visits, 

plant inspections, and source testing can involve inadvertent receipt 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 

infonnation 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 tes4 a trip report is prepared to include, as 

practicable, all infonnation 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 

· fmwardcd 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 he conftdential, and return the edited copy to the responsible EPA employee within the time 

specified. The original draft is kept in the CBI file. until the edited copy is returned by the 

business finn. · 

(3) When the reviewed copy is returned to EPA, infonnation 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) 
Enclosure 5- Attachment A 

Example Record Form for CBI Access 
CAA CONFIDENTIAL BUSINESS INFORMATION 

CONTROL RECORD 

DATE RECEIVED: RESPONS.IBLE GROUP: I CONTROL NUMBER: 

DATE OF DOCUMENT: DOCUMENT AUTHOR: 

DESCRIPTION (PROVIDING ORGANiZATION, TITLE, SUBJECT, NUMBER OF COPIES, NUMBER OF PAGES) 

RETURN DATE: I DESTRUCTION DATE: 'INITIALS: 

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

CHECK-OUT CHECK-IN 

SIGNATURE DATE TIME SIGNATURE DATE TIME 

I 

CAA Fonn 1 (Rev. 01102) 
Enclosure 5-Attachment B 

Example Authorization Form for CBI Access 
CAA CBI Security Manual (Appendix A) 

I. AUTHORIZATION FOR ACCESS TO CAA CBI FOR FEDERAL EMPLOYEES 

FULL NAME POSITION 

SSN OPPICE 

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 Federal Employees 

2. Are fully inform~ regarding their security responsibilities for CAA CBI. 

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

SIGNATURE OF AUTHORIZING OFFICIAL"' TELEPHONE NO. DATE 

TITLE LOCATION 

II. CONFIDENTIALITY AGREEMENT FOR FEDERAL EMPLOYEES 

1 understand that, in accordance with my official duties, I will have access to certain Confidential Business 

Information submitted under the Clean Air Act (CAA) (42 U.S.C. 7401 et seq.) 

I understand that, under 18 U.S.C. 1905 and 18 U.S.C 19241 am liable for a possible fine of up to $1,000 and/or 

imprisorunent for up to one year, ifl willfully disclose CAA Confidential Business Information to any person not 

authorized to receive it. Additionally,! understand that, I may be subject to disciplinary action for violation of 

this agreement with penalties ranging up to and including dismissal. 

[am aware that, I may be subject to criminal penalties l!Rder 18 U.S.C. 100 I if I have made any statement of 

material facts knowing that such statement is false or if I willfully conceal any material fact. 

1 agree that, upon the tennination of my duties, tnmsfer or departure from the Environmental Protection Agency, 

I will return all materials containing CAA Confidential Business Information in my possession to the OAQPS 

CBI Office. 

I certify that I have read and understand these procedures and those outlined in the CAA CBI Security Manual. 

SIGNATURE TELEPHONE NO. DATE 

III. THE UNDERSIGNED CERTIFIES THE ALL TRAINING AND TEST 

REQUIREMENTS HAVE BEEN MET BY THE EMPLOYEE. 

SIGNATURE CBJ MANAGER/DCO TELEPHONE NO. DATE 

IV. ANNUAL RE-CERTIFICATION: J certify that, in conjunction with my duties, I require access to 

CAA CBI. I am current with all CBI handl.ing procedures and security guidelines as outlined in the CCA CBI 

Security Manual. 

Date Date Date Date Date Date 

Initial Initial Initial Initial Initial lnitial 

Date Date Date Date Date Date 

Initial Initial fn.ital Initial Initial Initial . . . CAA CBI From 2 (Rev. 0 l/02) • Must be DIVISH>n Director (or equtvalcnt) or above . 

A· I