### UNITED STATES ENVIRONMENTAL PROTECTION AGENCY RESEARCH TRIANGLE PARK, NC 27711

Stephen Aldridge KnaufInsulation Corporation One KnaufDrive Shelbyville, Indiana 46176
Dear Mr. Aldridge: June 25, 2015

Pursuant to section 114 ofthe Clean Air Act (CAA), the U.S. Environmental Protection Agency (EPA) is requesting that you provide the information described in Enclosure 1to this letter. This Information Collection Request (ICR) is being conducted by the EPA Office ofAir 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, KnaufInsulation 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, subpartNNN) under section 112 ofthe CAA. These standards set emission limits for formaldehyde and regulated phenol and methanol using formaldehyde as surrogate. The EPA has beenreviewing 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 ofthese pollutants from bonded lines. However, we have subsequently learned that the use ofphenol/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 inthe 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 ofthe listed source categories. Therefore, we are issuing another CAA section 114 ICRto 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 ofthis 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 ICRto us within 30 days from the postmark date ofthis 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 ofyour wool fiberglass manufacturing facility to the applicable addresses. Ifa facility is part of another company or is separately incorporated as a subsidiary or affiliate ofyour company, do not complete any ofthese enclosures for that facility. Instead, please notify us immediately ofthis fact. The EPA's legal authority to obtain the information requested inthe 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 ofany 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 oftrade 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. Ifno claim of confidentiality accompanies the information when it is received bythe EPA, the information may be made available to the public by the EPA without further notice (40 CFR §2.203(a)(2)). See 40 CFRpart 2, subpart B, for the EPA's regulations regarding the confidentiality ofbusiness information. Because section 114(c) ofthe CAA exempts emission data from claims ofconfidentiality, the emission data you provide may be made available to the public. A clarification ofwhat the EPA considers to be emission data is contained inEnclosure 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 ofthis survey; as well as sampling results and emissions test results provided to us inresponse to Part II ofthis survey. As a designated representative ofthe Agency, ERG is subject to the provisions of 42 U.S.C. §7414(c) respecting confidentiality ofmethods 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 inEnclosure 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 ofAir 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\_ ,. Ifyou would prefer, you inay electronically subipit to the following Wool Fiberglass ICR Website: http://projects.erg.com/woolfiberglass/. Ifyou choose to access and use the website, enter the following user ID and password information when prompted: User ID: fiberglass Password: 2015Survey Ifyou 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 ofMs. 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, orprivate courier to: U.S. Environmental Protection Agency Office ofAir 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, ifyou are submitting CBI on CD-ROM or DVD-ROM disk, you must also submit a nonCBI version ofyour survey response to the mailing address listed above. DO NOT SEND CONFIDENTIAL BUSINESS INFORMATION TO THE EPA BY EMAIL ORFAXMACHINE OR TO THE WEBSITE.

### Ifyou 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 ofthe survey by August 20, 2015. Thank you for your assistance in this effort. Sincerely,

Sector Policies and Programs Division , Enclosures: Enclosure 1: Part I ofthe Wool Fiberglass Survey Enclosure 2: EPA's information gathering authority (section 114 ofthe CAA) Enclosure 3: Clarification ofwhat EPA considers to be emissions data Enclosure 4: Summary ofcontractor's authority as representative ofEPA Enclosure 5: Procedures for safeguarding CBI under the CAA

cc: EPA Regions

# Enclosure 1: RS Line Data for Part I Ofthe 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 ofeach 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. [I nsert additional rows in the table as necessary.]
Facility Facilit y Mailing RSLine C

.

om]t any t<f ame Facility Name Facilit y_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 (Specif y Content Of

### Resin Product End 

### lD Name Un· its) (%· ) Units) ·(Specif y 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.

ControlDevice ID Om'trol 

### DevieeDescliiption RS Line

**II))(~)** 

### Vented to the Control

**De~ice** 

### PQU'utanf (S) Controlled J by

### Device Polluta'nt .,Spe-cific Gontrol Efiicie1acy 

### :1 Basis

.

### f.oTo Contiol Efficiency P'

at·a· meter(s) Monitorc

. d to 

### A:ssess Colltrol De,• ice Ope..ation DateControl

**De~ice** 

### Installed on RSLine

# Enclosure 2: EPA's Information Gathering AuthorityEPA1s Information Gathering Authority Under Section 114 ofthe Clean Air Act Under Section 114 ofthe 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 ofany implementation plan under Section llOor lll(d), any standard ofperformance under Section 111, or any emission standard under Section 112, {ii) determining whether any person 

### is in violation ofany such standard ofany requirement ofsuch a plan. or(iii} carrying out any provision ofthis Act." Among other things, Section 114 authorizes EPA to make inspections, conduct tests, examine records, and require owners or operators ofemission sources to submit information reasonably required for the purpose ofdeveloping such standards. In addition, the EPA Office ofGeneral Counsel has interpreted Section 114 to include authority to photograph orrequire submission ofphotogmphs ofpertinent equipment, emissions, orboth. Under Section 114, EPA is empowered to obtain information described by that section even ifyou 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 ifEPA 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 in40 CFR Part 2published in the Federal Register on September 1, 1976 (4{) FR 36902), Pursuant to§ 2.204(a) ofEPA's Freedom ofInformation Act (FOIA) regulation, in the event a request is received, or it is determined that a request Is likely to be received, orEPA desires to determine whether business information in its p<lSsession is entitled to confidential treatment even though no request for release ofthe information has been received, please be advised that EPA will seek, at that time, the following infonnation to support yourclaim as required by§ 2.204(e)(4) ofEPA's FOlA regulations: 1. Measures taken by your company to guard against undesired disclosure ofthe 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. ifany, by EPA or otherFederal agencies, and a copy ofany such determinations, or reference to it, ifavailable; and 4. Whether your company :u;serts that disclosure ofthe information would be likely to result in substantial harmful effects on the business' competitive position, and ifso, what those harmful effects would be, why they should be viewed as substantial, and an explanation ofthe causal relationship between disclosure and such harmful effects.

1 Section 114 requires public availability ofall emission data and authorizes disclosure ofconfidential information in certain circumstances, See 40 FR 36902- 36912 (September 1, 1976).

# Enclosure 3: Clarification ofWhat EPA Considers Emissions DataFederal Register I Vol. 56 No. 3S I Thursday, February Z1, 1991/Notices Page 7042**{AD-FRL-3906~3]** Disclosure ofEmission Data Claimed as Confidential Under Sections It0 and IJ4(c) ofthe Clean Air Act AGENCY: Environmental Protection Agency (EPA). ACTION; Notice ofpolicy on public release ofcertain emission data submitted under sections 110 and ll4(c) ofthe Clean AirAct (CAA).

SUMMARY: Section 114{c) ofthe CAA excludes emission data from the general definition of trade secret infonnation. Certain classes ofdata submitted to the EPA under sections ll0 and 114(a) ofthe CAA are emission data, and, as such, cannotbe withheld from disclosure as confidential pursu1111t to section 1905 oftitle 18 ofthe United States Code. TI1is notice clarifies EPA's current policy, and**s~>licits** conmlenl regarding that policy and categories ofdata which it consi<iers e)Cduded from a trade secretdefinition. 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; orThomas 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 JNFORMATION: The EPA routinely uses the authority ofsections 110 and 114{a) ofthe CAA to gather technical information 

## trom industries involved in operations that lead to emission ofpollutants 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 1ofS)Federal Register I Vol. 

## So No. 35/Thursday, February 21, 1991/Notice.s Page7042 (Continued) Information requcsts under sections 

## n0and 114(a) ofthe CAA typically include questions on uncontrolled 

### and controlled emissionrates and emission parameters ofthe pollutant or group ofpollutani.S ofconcern. The respondents sometimes claim that its response constitutes trade secret information, and thus, sh<Juld be treated as confidential. Claims ofconfidentiality may bemade under!ection 114(c) ofthe CAA, which states: 

### "*" • • upon a showing satisfactory to the ·Administrator by any person that records, reports, or in.fonnation, ora parti.cu:larpart thereof, (other than emission data) to which the Administrator has access under this section if made public, would divulge methods orprocesses

**~ntitled** to protection as trade secrets ofsuch person, the Administrator shall consider such • • • confidential in accordance with the purposes ofsection I90S oftitle 18 ofthe United States Code • • •."lflbe Administrator so determines, lhe infonnution 

### is not disclosable to thepublic. However, section ll4(c)ofthe 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 ofdata wiJI always constitute emission data within the meaning ofsection 114(c}. The pUlf:lOSe ofthis notice istodescribe, without attempting to be comprehensive, that information which the EPA generallyconsiders 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) ofthe CAA. The EPA is issuing this notice to clarify its policy and procedures, to facilitate the use ofthese data in automated data systems and computer-based simulation models, and to expedile prQcessing ofclaims for confidentialityorrequests 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)Actmeans 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 ofany 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{myemission which has been emitted by the source (or ofanypollut.ant resulting from any emission bythe source); or anycombination ofthe foregoing: (B) Information necessary to determine the identity, amount, frequency, concentration, or other characteristics (to the extentrelated to air quality) ofthe emission which, under an applicable standard orlimitation, 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 ofthemanner orrate ofoperation ofthe source), or any combination ofthe foregoing; (C} A gcneraJ description oftbtJlocation and/ornatureofthe source to the extent nece&sary to identify the source and 

### to distinguish 1t &om olhersources. (including, to the extent necessary for suchpurposes, a description oflhe device, installation, or operationconstituting the 

### source). Thetable below lists the specific data fields which theEPApresently considers to constitute emission data and provides a briefdescription ofwhat each data field describes. The deacriptions are intended to provide general information. This list isnot**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 ofemission sources, this sbaH also includea description or lU1 identifier ofthe 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 datafields arc needed to establish the cluu'acieristies ofthe emissions. This information is needed for the analyses ofdispersion and potential control equipment.
(Page 3 ofS)Federal Register fVol. 56 No. 35 I Thursday, February 21, 1Sl911Nutic:es Pa;e7042 (ContiDucd) EmiS$iOn type (e.g.• nature ofemissions such as C01), pan.iculale or a specific toxic compound. and origin ofemi:lsions such as process voots, stor11ge tanks 

### or equipment leaks) Emission rate Eod ofPage 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 ofterrain and surrounding structures (e.g., thf: size ofthe area associated with adjacent structures in squaremeters and terrain descriptions such asmountainow:, urban, or rural) Stack or vent diameter at point ofemissions (e.g., the inside diameter ofvent at the point ofemission to the atmosphere in meters) Release velocity (e.g., velocity ofrelease in m/soo) Release temperature (e.g., temperature ofrelease atpoint ofrelease in degrees Kelvin) Frequency ofrelease (e.g.• how often a release occurs in events per year) Duration ofrelease (e.g, the time associated with arelease to the atmosphere) Concentration (e.g., the amount ofan emission &Iteam constituent relative to other stream constituents expressed as parts per million (ppm), volume pc.:rcent, or weight pcn:ent) Density ofthe emissions stream or average molecular weight (e.g., 

### density expressed as fraction or multiple ofthe density ofair; molecularweight in gig·mole) 

### Boileror process design capacity (e.g., the gross beating value offuel input to a boiler atits maximum design rate) Emission estimation method (e.g., the method bywhich an emission estimate has been calculated such as material balance, source test, use ofAP·42 cmi"ssion factors, etc.) Percent space heat (e.g., the percent offuel used for ipace heating) Hourly maximum design**rat~:**
(Page 4 of5)

## =FederalRepterI Vol. 56No. 35/Thursday,Jl'ebtuaryll, l9!li1Nodces

(e.g.,**tb~** greateatt>pera&ingrate: thaiwould beexpected for a**sourc~** in a 1 ..,hourperiod) TheEPA haJ**detennin~lhat** tb*'d$t•$'eOtni$$ipn**d'~and.-eleaatblc~n** request. This detmnination applies to datacurtJ.mtlyheld by EPA liS well a&to information submitted to EPA in tho futtn. Futuro requests fur inftmnation under sections ll0 attd 114 

### ofthe CAA witt indicatethatthese emissiond<lta wiU !lOt

### be held confidential. This detenninatton applies only to tho data listed in the table. Delerminalions will !!Onli'nue to bemade Oi) a**case~by~ca&e b~is**  for datanol specified in 

### flU$ aeneric detennination. 

### Aftm'**CQn$ideratilil~l**Qfi)OJI:IJllents on thispolicy, a**~vi~ed**polilq'/dcten:nination may be published. Dated: FebrUary 8. 19'91. 

### Micl1aelShapiro1 ActingAsifi&tcmiAdminiJtracor forAir andRadiation.

(PageS of5) j•

# Enclosure 4: Summary ofContractor's Authority as Representative Of

# the EPAUNITED STATES ENVIRONMENTAl-PROTECTION AGENCY RESEARCH lRIANGI..EPARK, NC .27

. 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) UnderEPA 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 RepresentativesoftheAdministratorofthe United States Environmental Protection Agency for the purpose ofassisting in the development ofstandards ofperformance for new stationary sources under42 U.S.C. 7411, national emission standards for hazardous air pollutants under42 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 pursuantto the Clean Air Act, 42 U.S.C. 7414. The United States Code provides that, upon presentation ofthis credential, the Authorized Representatives named herein: (I) shall have a right ofentry to, upon, or through any premises in which an emission source is located or in which records requi.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 ofsuch source is required to sample. Authorized Representatives ofthe Adminil>'trator are subject to the provisions of 42 U.S.C. 7414 (c) respecting confidentiality ofmethods 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 CAA1. Purpose 

### January 2002



# Summary ofProcedures for Safeguarding Clean AirAct Confidential Business Information Enclosure 

### 5"

Thismemorandum describes U.S. Environmental ProtectionAgency (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 ofthe Clean Air Act (CAA). and governed by EPA regulations in 40Code ofFederal Regulations (CFR), Part 2, SubpartB, and other EPAregulations and policies. 2

. ReferenceDocuments:


### a. Clean AirAct, 

### as amended. b. 40 CFR, Chapter 1, Part 2, Subpart B- Confidentiality ofBusiness 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 ofdata gathering and handling procedures 

### used by the OAQPS ofthe EPA. Nothing

# in this document shall be construed as superseding or being in conflict with any applicable regulations, statutes, orpolicies to which EPA is subject. 4. Definition: Confidential Business Information

- Information claimed by theproviderto 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, orproprietary. NOTE: These markings should not beconfused withthe classification markings ofnational security information identified in 

### Executive Order 11652.2


### 5. Background Section 114 (c) ofthe

### CAA, as amended, reads as follows: "Any records, reports, orinformation 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 ofsuch person, the 

### Administrator shall 

### consider such record, report, orinformation orparticularportion thereofconfidential in accordance with

## the purposes ofSection 1905 ofTitle 18 ofthe United States Code, except that suchrecord, report, or information may bedisclosed to other officers, employees, or authorized representatives ofthe United States concerned with carrying out 

### this Act or when relevant 

### in any

### proceeding under this Act." 

### The treatment ofCBI by EPA, including data obtainedunder Section 114 ofthe CAA, is governedby 40 CFR Part 2. Theseregul11tions require EPA offices to include a notice with each request for information to inform the business of: (1) 

### its right to assert a claim ofconfidentiality covering part

### or 

### all ofthe information, (2) the method for asserting a clairn, and (3) the effect of failure to assert a claim at time ofsubmission. 

# rn add1tion, the regulations: (1) 

### set forth procedures for the safeguarding ofconfidential 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) permitthe disclosure ofinformation within EPA to employees with an official need for the infonnation, and (5} prohibit wrongful use ofsuch information and cite penalties for wrongful disclosure. Further. the regulations contain the Agency's basic rule concerning the treatment ofrequests for information under the Freedom ofInformation Act (FOIA) (5 U.S.C. 552). 6. Pa·ocedures:



### a. Request for Information. Each

### request for information made under theprovisions ofSection 114(a) is signed by the Division Director. The request includes standard enclosure "EPA's Infonnatioli Gathering Authority under Section 114 oftheClean Air Act" which was designed to meet the requirement of40 CFR Part 2 discussed above. b. Receipt ofCAA CBI

. Upon receipt ofinformation for which confidential treatment has been requested, the OAQPS DocumentControl Officer (DCO) logs in the material and a permanent file is established. Ifpart ofthe material is claimed to

### be confidential, that portion should be marked "Subject to 

### Confidentiality Claim." In compliance with Sections 2.204 and 2.208 of40 CFR Part 2, the Group Leader responsible for therequested infonnation reviews the information to determine the validity ofthe confidentiality claimas

### prescribed by the sections. If the information is 

### clearly not confidential, the Group Leaderprepares a letter for the signature of3
the responsible Division Director to notify the business ofthis finding. Information claimed as confidential is hand carried to theOAQPS CBI Office to be logged into the OAQPS CAA CBI tracking system and filed for safekeeping. 

### The OAQPS CAACBI tracking system provides a briefdescription ofthe material (submitter, subject, number ofpages, 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 ofpersonnel 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 measuresto ensure that theproprietary designation is uniformly indicated and immediately observable. All unmarked orundesignated information (except as noted below) may be authorized for public release.



### c. Storage ofCAA 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 

### ofthe OAQPS 

### DCO. Access to the storage area is limited to theDCO, Document Control Assistant, and the minimum number ofpersons required to effectively maintain nonnal business operations as directed by the Director, Planning, Resources, and Regional Management Staff(PRRMS). Files may be issued uponconfirmationthat the requesting individual is authorized to receive the information. All confidential files must be returned no later than close ofbusiness on the same day. The intended usermust signthe CBI Control Record when checking out files. Individuals signing outconfidential 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 inthe 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 oftheir official 

### duties are permitted to review documents and, upon receiving a

**confidenti~l** document, must sign and date the form shown in AttachmentA to certifY their access to the document. The Grou.p Leaderhaving primary responsibility for the CAA CBI provides a memorandum to the DCO designating those personnel authorized to access specific CBI. No4
person is automatically entitledto access based solely on grade, position, or security clearance. 

### The names ofpersons 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 toperform work for the EPA may be designated authorized representatives ofEPA. Asauthorized representatives, contractorsmay be granted access to CAA CBI. The following conditions apply when it has been determined that disclosure is necessacy: 

### (I) The contractordesignated as a representative and its employees (a) may use such confidential information only for the pwpose ofcarrying outthe work required, (b) must refrain from disclosing the information to anyone other than EPA without having received from

### EPA prior written approval ofeach affected business or ofan EPA legal office, and (c) must return to EPA all copies oftheinformation (and any abstracts or excerpts therefrom) upon request or whenever

### the information 

### is no longerrequired for the perfonnance ofthe 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 ofeach 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 ofCAA 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 bereleased to or accessed by EPA employees other than OAQPS employees only upon approval ofthe Director, PRRMS. Requests for CAA CBJ from otherFederal agencies, Congress, the Comptroller General, Courts, etc., are processed in accordance with 40CFR 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 ifa claim ofconfidentiality has been asserted or ifthere isreason to believe that a claim might be made ifthe business knew release 

### was intended.

e. Use and Disclosure ofCAACBI. The CAA CBI, as defmed, may not be used in publications, supporting documentation, memoranda, etc., that become apart ofthe public domain, except as provided for in 40 CFR Part 2, Subpart B. The CAA CBI may notbe 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. Documents, materials, or extracts ofinformation 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 ofOtherlnfonnation. Reports, memoranda, documents, etc.• prepared by EPA orits 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 testingcan involve inadvertent receipt ofCAA CBI, it

### is the

### policy ofOAQPS to protect all parties involved in the·following manner: (1) 

### Prior to or at

### the inception ofa 

### plant inspection, data-gathering visit, or source test, 

### EPA orits authorized representative discusses with a responsible industry official the infonnation sought, how itis to 

### be used, and how it is to be protected. A copy ofthis summary is 

### usually provided 

### to the industry official being consulted. (2) 

### Following 

### an inspection, visit, ortes4 

### a trip report is prepared 

### to include, 

### as practicable, all 

### infonnationreceived by EPA or its authorized representative during the

### visitor test. The report may bepreparedby either EPA or its authorized representative. The 

### draft report is clearly identified with an attached yellow cover sheet. A 

### second copy ofthe draft trip report is

·fmwardcd by

### EPA to the responsible industry official for review. The responsible industry official is requested by cover letterto review thereport, clearly mark any information considered to he conftdential, and return the edited copy to theresponsible 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 

### inthe CBI files as described above. The original draft 

### ofthe 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 INTHE 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 AccessCAA CBI Security Manual (AppendixA) 

### I. AUTHORIZATIONFORACCESS TO CAA CBI FORFEDERAL EMPLOYEES FULL NAME POSITION SSN OP PICE It is the responsibility ofeach 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 AGREEMENTFOR FEDERAL EMPLOYEES 1understand 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 ofup 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 subjectto 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 ifI have made any statement of material facts knowing that such statement is false or ifIwillfully conceal any material fact. 1agree that, upon the tennination ofmy duties, tnmsfer ordeparture from the Environmental Protection Agency, I will return all materials containing CAA Confidential Business Information in my possession to the OAQPS CBI Office

. Icertify 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 BEENMET 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. Iam 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. 0l/02) • Must be DIVISH>n Director (or equtvalcnt) or above

. A·I