Document ID: EPA-HQ-OEI-2013-0565-0008
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2017-02-16T05:00Z

SAMPLE LETTER A: Generic Substantiation, FOIA
                                                                               
                                                                               
                                                                               
  								Approved OMB 2020-0003
                                              Approval expires XXXX 
                                                                               

                 Request for Substantiation In Response to a 
                 Request Under the Freedom Of Information Act 

               By Certified U.S. Mail; Return Receipt Requested
(Name, title, and address of the [designated] representative of the affected business)
Re: Freedom of Information Act (FOIA) Request [INSERT FOIA #]
Dear [Addressee]:
      The U.S. Environmental Protection Agency ("EPA" or "Agency") has received a request under the FOIA for certain records [if submitted by the business whose information it is: that you submitted to the EPA] [if submitted by an entity other than the business whose information it is: in EPA's possession] pertaining to [a detailed description of the information or specific list of documents that is/are the subject of the advance or final confidentiality determination]. [If information has been claimed as CBI: You have claimed (all or part) of this information as confidential business information ("CBI").] [If no claim has been made: In accordance with applicable EPA regulations, 40 C.F.R. Part 2, Subpart B, the EPA has determined that you might be expected to assert a claim that some or all of [if submitted by the business whose information it is: the information you submitted to the EPA] [if submitted by an entity other than the business whose information it is: this information in EPA's possession] is confidential business information ("CBI").] Under the EPA regulations at 40 C.F.R. Part 2, Subpart B, the FOIA request has been initially denied to afford you an opportunity to provide comments to [If no claim has been made: claim this information as CBI and] substantiate your claim(s) as described below.
      The purpose of this letter is to notify you that the EPA (appropriate legal office) will be making a(n) (advance or final) confidentiality determination concerning the information you have claimed as CBI. If you feel that some or all of the information is entitled to confidential treatment, you must make the showings below with specific reference to those portions of the information you consider confidential. 
      Please be specific by page (including Bates Stamp, if applicable), paragraph, and sentence when identifying and substantiating the information subject to your claim. Where your claim, as originally made or as modified by your response to this letter, does not include all information on a page, please attach a copy of each such page with brackets around the text that you claim to be CBI. Please note that if a page, document, group, or class of documents claimed by you to be CBI contains a significant amount of information which (appropriate legal office) determines is not CBI, your CBI claim regarding that page, document, group, or class of documents may be denied.  Any information not specifically identified as subject to a confidentiality claim and substantiated as such in your response to this letter may be disclosed to the requester without further notice to you. 
      For each item or class of information that you continue to claim as CBI, please answer the following questions, giving as much detail as possible. Your comments in response to these questions will be used by the EPA to determine whether the information has been shown to be entitled to confidential treatment:
      1. 	For what period of time do you request that the information be maintained as confidential, e.g., until a certain date, until the occurrence of a specified event, or permanently? If the occurrence of a specific event will eliminate the need for confidentiality, please specify that event. 
      2. 	Information submitted to the EPA becomes stale over time. Why should the information you claim as confidential be protected for the time period specified in your answer to question #1?
      3. 	What measures have you taken to protect the information claimed as confidential? Have you disclosed the information to anyone other than a governmental body or someone who is bound by an agreement not to disclose the information further? If so, why should the information be considered confidential?
      4. 	Is the information contained in any publicly available material such as the Internet, publicly available databases, promotional publications, annual reports, or articles? If so, specify which. 
      5. 	Is there any means by which a member of the public could obtain access to the information? Is the information of a kind that you would customarily not release to the public?
      6. 	Has any governmental body made a determination as to the confidentiality of the information? If so, please attach a copy of the determination.
      7. 	For each item or category of information claimed as confidential, explain with specificity why release of the information is likely to cause substantial harm to your competitive position. Explain the specific nature of those harmful effects, why they should be viewed as substantial, and the causal relationship between disclosure and such harmful effects. How could your competitors make use of this information to your detriment?
      8. 	Do you assert that the information is submitted on a voluntary or a mandatory basis? Please explain the reason for your assertion. If you assert that the information is voluntarily submitted information, please explain whether the information is the kind that would customarily not be released to the public. 
      9. 	Whether you assert the information as voluntary or involuntary, please address why disclosure of the information would tend to lessen the availability to the EPA of similar information in the future.
      10. 	If you believe any information to be (a) trade secret (s), please so state and explain the reason for your belief. Please attach copies of those pages containing such information with brackets around the text that you claim to be (a) trade secret (s). 
      11. 	Explain any other issue you deem relevant (including, if pertinent, reasons why you believe that the information you claim to be CBI is not emission data or effluent data).
      [For contract-related CBI: Enclosed is the EPA Class Determination 1-95 entitled, Confidentiality of Certain Business Information Submitted by Contractors and Prospective Contractors, which addresses the treatment of different types of information related to contracts. You may consider reviewing Class Determination 1-95 as you develop your response.]
      [If applicable to another EPA class determination:  Enclosed is the EPA Class Determination [class determination number] entitled, [name of the class determination], which addresses the treatment of [description of class determination].  You may consider reviewing Class Determination [#] as you develop your response.]
      Please note that you bear the burden of substantiating your confidentiality and trade secret claim(s). Generalized or conclusory statements will be given little or no weight in EPA's determination on the confidentiality of the information you claim to be CBI. 
      Your comments must be postmarked or hand delivered to this office, or emailed to [email address], by the 15th working day after your receipt of this letter. You may seek an extension of time to submit your comments to this office, but the request must be made before the end of the 15-day period. Except in extraordinary circumstances, no extension will be approved without the consent of the FOIA requester. Failure to submit your comments within that time will be regarded as a waiver of your confidentiality claim or claims, and the EPA may release the information. 
      If you wish to claim any information that you provide in your response to this letter to itself be confidential, you must mark the response "CONFIDENTIAL" or with a similar designation, and must bracket all text in the response that you so claim. Information so designated will be disclosed by the EPA only to the extent allowed by, and by means of the procedures set forth in, 40 C.F.R. Part 2, Subpart B. If you fail to claim the information provided in your response as confidential, it may be made available to the public without further notice to you.
      Should you have any questions concerning this matter, please call me at [telephone number].
                              Sincerely, 
                                                      
                                    [Signature and Title ;   Office Name and Address]
 [Enclosure]

                              SAMPLE LETTER B: Generic Substantiation, Non-FOIA
                                                                               

                                                         Approved OMB 2020-0003
                                                          Approval expires xxxx
                                                                               
                                                                               
             Request for Substantiation From an Affected Business 
                                                                               

By Certified U.S. Mail; Return Receipt Requested
[Name, title, and address of the [designated] representative of the affected business]
Re: _________
Dear [Addressee]:
      The U.S. Environmental Protection Agency ("EPA" or "Agency") is seeking to determine the entitlement to confidentiality of [description of the information that is the subject of the advance or final confidentiality determination] [if submitted by the business whose information it is: that you submitted to the EPA] [if submitted by an entity other than the business whose information it is: in EPA's possession.] [If information has been claimed as CBI: You have claimed (all or part) of this information as confidential business information ("CBI").] [If no claim has been made: In accordance with applicable EPA regulations, 40 C.F.R. Part 2, Subpart B, the EPA has determined that you might be expected to assert a claim that some or all of [if submitted by the business whose information it is: the information you submitted to the EPA] [if submitted by an entity other than the business whose information it is: this information in EPA's possession] is confidential business information ("CBI").] 
      The purpose of this letter is to notify you that the EPA [appropriate legal office] will be making a(n) [advance or final] confidentiality determination concerning the information you have claimed as CBI. If you feel that some or all of the information is entitled to confidential treatment, you must make the showings below with specific reference to those portions of the information you consider confidential. 
      Please be specific by page (including Bates Stamp, if applicable), paragraph, and sentence when identifying and substantiating the information subject to your claim. Where your claim, as originally made or as modified by your response to this letter, does not include all information on a page, please attach a copy of each such page with brackets around the text that you claim to be CBI. Please note that if a page, document, group or class of documents claimed by you to be CBI contains a significant amount of information which our [appropriate legal office] determines is not CBI, your CBI claim regarding that page, document, group, or class of documents may be denied.  Any information not specifically identified as subject to a confidentiality claim and substantiated as such in your response to this letter may be disclosed without further notice to you. 
      For each item or class of information that you continue to claim as CBI, please answer the following questions, giving as much detail as possible. Your comments in response to these questions will be used by the EPA to determine whether the information has been shown to be entitled to confidential treatment:
      1. 	For what period of time do you request that the information be maintained as confidential, e.g., until a certain date, until the occurrence of a specified event, or permanently? If the occurrence of a specific event will eliminate the need for confidentiality, please specify that event. 
      2. 	Information submitted to the EPA becomes stale over time. Why should the information you claim as confidential be protected for the time period specified in your answer to question #1?
      3. 	What measures have you taken to protect the information claimed as confidential? Have you disclosed the information to anyone other than a governmental body or someone who is bound by an agreement not to disclose the information further? If so, why should the information be considered confidential?
      4. 	Is the information contained in any publicly available material such as the Internet, publicly available databases, promotional publications, annual reports, or articles? If so, specify which. 
      5. 	Is there any means by which a member of the public could obtain access to the information? Is the information of a kind that you would customarily not release to the public?
      6. 	Has any governmental body made a determination as to the confidentiality of the information? If so, please attach a copy of the determination.
      7. 	For each item or category of information claimed as confidential, explain with specificity why release of the information is likely to cause substantial harm to your competitive position. Explain the specific nature of those harmful effects, why they should be viewed as substantial, and the causal relationship between disclosure and such harmful effects. How could your competitors make use of this information to your detriment?
      8. 	Do you assert that the information is submitted on a voluntary or a mandatory basis? Please explain the reason for your assertion. If you assert that the information is voluntarily submitted information, please explain whether the information is the kind that would customarily not be released to the public. 
      9. 	Whether you assert the information as voluntary or involuntary, please address why disclosure of the information would tend to lessen the availability to the EPA of similar information in the future.
      10. 	If you believe any information to be (a) trade secret(s), please so state and explain the reason for your belief. Please attach copies of those pages containing such information with brackets around the text that you claim to be (a) trade secret(s). 
      11. 	Explain any other issue you deem relevant (including, if pertinent, reasons why you believe that the information you claim to be CBI is not emission data or effluent data).
      [For contract-related CBI: Enclosed is the EPA Class Determination 1-95 entitled, Confidentiality of Certain Business Information Submitted by Contractors and Prospective Contractors, which addresses the treatment of different types of information related to contracts. You may consider reviewing Class Determination 1-95 as you develop your response.]
      [If applicable to another EPA class determination:  Enclosed is the EPA Class Determination [class determination number] entitled, [name of the class determination], which addresses the treatment of [description of class determination].  You may consider reviewing Class Determination [#] as you develop your response.]
      Please note that you bear the burden of substantiating your confidentiality and trade secret claim(s). Generalized or conclusory statements will be given little or no weight in EPA's determination on the confidentiality of the information you claim to be CBI. 
      Your comments must be postmarked or hand delivered to this office, or emailed to [email address], by the 15th working day after your receipt of this letter. You may seek an extension of time to submit your comments to this office, but the request must be made before the end of the 15-day period. Except in extraordinary circumstances, no extension will be approved. Failure to submit your comments within that time will be regarded as a waiver of your confidentiality claim or claims, and the EPA may release the information. 
      If you wish to claim any information that you provide in your response to this letter to itself be confidential, you must mark the response "CONFIDENTIAL" or with a similar designation, and must bracket all text in the response that you so claim. Information so designated will be disclosed by the EPA only to the extent allowed by, and by means of the procedures set forth in, 40 C.F.R. Part 2, Subpart B. If you fail to claim the information provided in your response as confidential, it may be made available to the public without further notice to you. 
      Should you have any questions concerning this matter, please call me at [telephone number].
                              Sincerely, 
                                    [Signature and Title ;   Office Name and Address]
[Enclosure]
                                                   SAMPLE LETTER C: FIFRA, FOIA

	OMB 2020-0003
	Expires: XXXX
	Inert Ingredients

             Request for Substantiation From an Affected Business 
                                                                               

By Certified U.S. Mail; Return Receipt Requested
[Name, title, and address of the [designated] representative of the affected business]

      RE:  Confidential Business Information Determination 

Dear [ADDRESSEE]:

      The U.S. Environmental Protection Agency ("EPA") Office of Pesticide Programs has received a request under the FOIA for certain records [if submitted by the business whose information it is: that you submitted to the EPA] [if submitted by an entity other than the business whose information it is: in EPA's possession] pertaining to [a detailed description of the information or specific list of documents that is/are the subject of the advance or final confidentiality determination]. [If information has been claimed as CBI: You have claimed (all or part) of this information as confidential business information ("CBI").] [If no claim has been made: In accordance with applicable EPA regulations, 40 C.F.R. Part 2, Subpart B, the EPA has determined that you might be expected to assert a claim that some or all of [if submitted by the business whose information it is: the information you submitted to the EPA] [if submitted by an entity other than the business whose information it is: this information in EPA's possession] is confidential business information ("CBI").] Under the EPA regulations at 40 C.F.R. Part 2, Subpart B, the FOIA request has been initially denied to afford you an opportunity to provide comments to [If no claim has been made: claim this information as CBI and] substantiate your claim(s) as described below.
      The purpose of this letter is to notify you that the EPA Office of General Counsel will be making a(n) [advance or final] confidentiality determination concerning the information you have claimed as CBI. If you feel that some or all of the information is entitled to confidential treatment, you must make the showings below with specific reference to those portions of the information you consider confidential. 
      
      Please be specific by page (including Bates Stamp, if applicable), paragraph, and sentence when identifying and substantiating the information subject to your claim. Where your claim, as originally made or as modified by your response to this letter, does not include all information on a page, please attach a copy of each such page with brackets around the text that you claim to be CBI. Please note that if a page, document, group, or class of documents claimed by you to be CBI contains a significant amount of information which the Office of General Counsel determines is not CBI, your CBI claim regarding that page, document, group, or class of documents may be denied.  Any information not specifically identified as subject to a confidentiality claim and substantiated as such in your response to this letter may be disclosed to the requester without further notice to you. 
      
  For what period of time do you request that the information be maintained as confidential? If the occurrence of a specific event will eliminate the need for confidentiality, please specify that event.
      
 Information submitted to EPA becomes stale over time. Why should the information you claim as confidential be protected for the time period specified in your answer to question #1?
       
 What measures have you taken to protect the information claimed as confidential? Have you disclosed the information to anyone other than a governmental body or someone who is bound by an agreement not to disclose the information further? If so, why should the information still be considered confidential?
      
 Has any governmental body made a determination as to the confidentiality of the information? If so, please attach a copy of the determination.
      
 Is the information contained in any publicly available material such as promotional publications, annual reports, articles, etc.? Is there any means by which a member of the public could obtain access to the information?
       
 For each category of information claimed as confidential, discuss with specificity why release of the information is likely to cause substantial harm to your competitive position. Explain the nature of those harmful effects, why they should be viewed as substantial, and the causal relationship between disclosure and such harmful effects. How could your competitors make use of this information to your detriment?
      
 Do you assert that the information is "voluntarily submitted" as defined at 40 C.F.R. § 2.201(i)? If so, explain why and how disclosure would tend to lessen EP A's ability to obtain similar information in the future.
       
 Any other issue you deem relevant.

      Please note that you bear the burden of substantiating your confidentiality and trade secret claim(s) pursuant to 40 CFR § 2.208(e). Generalize or conclusory allegations will be given little or no weight in EPA's determination on the confidentiality of information you claim to be CBI.  
      
      If you wish to claim any information that you provide in your response to this letter to itself be confidential, you must mark the response "CONFIDENTIAL" or with a similar designation, and must bracket all text in the response that you so claim. Information so designated will be disclosed by the EPA only to the extent allowed by, and by means of the procedures set forth in, 40 C.F.R. Part 2, Subpart B. If you fail to claim the information provided in your response as confidential, it may be made available to the public without further notice to you. 
Your reply can be mailed to the following address:

Or your reply can be delivered to the following address:

      Your comments must be postmarked or hand-delivered by the 15th working day after your receipt of this letter. If you intend to submit timely comments, please notify by phone at [TELEPHONE NUMBER], by email at or by mail at the address above. Failure to submit timely comments will be regarded as a waiver of your confidentiality claim and EPA will release the information.  You may request an extension of the 15-day deadline. Except in extraordinary circumstances, no extension will be granted without the permission of the requestor. 
      
      Should you have any questions in this matter, please contact [CONTACT NAME].
      
	Sincerely,

Enclosures

                  SAMPLE LETTER D:  FIFRA; Non-FOIA

	OMB 2020-0003	
	Expires

             Request for Substantiation From an Affected Business 
                                                                               

By Certified U.S. Mail; Return Receipt Requested
[Name, title, and address of the [designated] representative of the affected business]

      Re: Freedom of Information Act Request [INSERT NUMBER]

Dear [INSERT NAME]:

      The U.S. Environmental Protection Agency ("EPA") Office of Pesticide Programs is seeking to determine the entitlement to confidentiality of [description of the information that is the subject of the advance or final confidentiality determination] [if submitted by the business whose information it is: that you submitted to the EPA] [if submitted by an entity other than the business whose information it is: in EPA's possession.] [If information has been claimed as CBI: You have claimed (all or part) of this information as confidential business information ("CBI").] [If no claim has been made: In accordance with applicable EPA regulations, 40 C.F.R. Part 2, Subpart B, the EPA has determined that you might be expected to assert a claim that some or all of [if submitted by the business whose information it is: the information you submitted to the EPA] [if submitted by an entity other than the business whose information it is: this information in EPA's possession] is confidential business information ("CBI").] 
      The purpose of this letter is to notify you that the EPA Office of General Counsel will be making a(n) [advance or final] confidentiality determination concerning the information you have claimed as CBI. If you feel that some or all of the information is entitled to confidential treatment, you must make the showings below with specific reference to those portions of the information you consider confidential. 
      
      Please be specific by page (including Bates Stamp, if applicable), paragraph, and sentence when identifying and substantiating the information subject to your claim. Where your claim, as originally made or as modified by your response to this letter, does not include all information on a page, please attach a copy of each such page with brackets around the text that you claim to be CBI. Please note that if a page, document, group, or class of documents claimed by you to be CBI contains a significant amount of information which the Office of General Counsel determines is not CBI, your CBI claim regarding that page, document, group, or class of documents may be denied.  Any information not specifically identified as subject to a confidentiality claim and substantiated as such in your response to this letter may be disclosed to the requester without further notice to you. 
      
Questions 1-7 must be answered with respect to any confidentiality claims pertaining to the enclosed product chemistry information. 
      
       What value can your competitors derive from knowing the identity, percent by weight, certified limits, or parent process of each impurity? Is this impurity unique to your manufacturing process? Why would your competitors find this impurity preferable over whatever impurity results from their equivalent process? 
       
       Does published analytical methodology exist that could identify and quantify this impurity? If so, why do you believe that your competitors have not already performed such analysis?

       What value can your competitors derive from knowing the description of materials used to produce the product, the description of the production process, or the preliminary production analysis? Why would your competitors find these processes preferable over their equivalent processes?
      
Questions 4-7 must be answered with respect to any confidentiality claims pertaining to the inert ingredients. Each question must be answered separately with respect to each inert ingredient:

       What is the value that this inert ingredient brings to the product formulation? What characteristics of this ingredient are unique such that competitors might prefer it over whatever ingredients perform the equivalent function in their formulations? Is the use of this ingredient limited to your product, or does it have broader applications?
      
       Why is it unlikely that your competitors have not already discovered the value of this ingredient? Are you aware of the use of this ingredient as an inert by your competitors?
      
       To your knowledge, has the use of this inert ingredient in a pesticide been disclosed in a patent? If so, how would disclosure of the identity of the ingredient assist your competitors beyond what is already available through a patent? 
       Can the identity of this inert ingredient be determined by product sample analysis? If so, why do you believe that your competitors have not already performed such analysis?
      
Question 8 must be answered with respect to any confidentiality claims pertaining to the enclosed records:

       For each category of information claimed as confidential, discuss with specificity why release of the information is likely to cause substantial harm to your competitive position. Explain the nature of those harmful effects, why they should be viewed as substantial, and the causal relationship between disclosure and such harmful effects. How could your competitors make use of this information to your detriment?
      
Questions 9 through 15 must be answered for each type of information that you claimed as confidential:

       For what period of time do you request that the information be maintained as confidential? If the occurrence of a specific event will eliminate the need for confidentiality, please specify that event.
       
       Information submitted to EPA becomes stale over time. Why should the information you claim as confidential be protected for the time period specified in your answer to question number 9? 
       
       What measures have you taken to protect the information? Have you disclosed the information to anyone other than a governmental body or someone who is bound by an agreement not to disclose it further? If so, why should it still be considered confidential? 
       
       Has any governmental body made a determination as to the confidentiality of the information? If so, please attach a copy of the determination. 
      
       Is the presence of this information disclosed in any publicly available material such as Material Safety Data Sheets, promotional publications, annual reports, articles, etc.? Is there any means by which a member of the public could obtain access to the information?
      
       Do you assert that the information is "voluntarily submitted" as defined at 40 CFR § 2.201(i)? If so, explain why, and how disclosure would tend to lessen EPA's ability to obtain similar information in the future.
      
       Any other issue you deem relevant.

      Please note that you bear the burden of substantiating your confidentiality and trade secret claim(s) pursuant to 40 CFR § 2.208(e). Generalize or conclusory allegations will be given little or no weight in EPA's determination on the confidentiality of information you claim to be CBI.  
      
      If you wish to claim any information that you provide in your response to this letter to itself be confidential, you must mark the response "CONFIDENTIAL" or with a similar designation, and must bracket all text in the response that you so claim. Information so designated will be disclosed by the EPA only to the extent allowed by, and by means of the procedures set forth in, 40 C.F.R. Part 2, Subpart B. If you fail to claim the information provided in your response as confidential, it may be made available to the public without further notice to you. 
      Be advised that information described by Federal Insecticide, Fungicide, and Rodenticide Act ("FIFRA") section 10(d)(l)(A), (B), and (C) is not automatically entitled to confidential treatment.  Disclosure of such information would only be prohibited, by FIFRA section (b), if the information is eligible for confidential treatment as described by 40 CFR 2.208. 

Your reply can be mailed to the following address:

Or your reply can be delivered to my attention at the following address:

      Your comments must be postmarked or hand-delivered by the 15th working day after your receipt of this letter. If you intend to submit timely comments, please notify by phone: [TELEPHONE], by email: [EMAIL ADDRESS], or by mail at the address above.  Failure to submit timely comments will be regarded as a waiver of your confidentiality claim and EPA will release the information.  You may request an extension of the 15-day deadline. Except in extraordinary circumstances, no extension will be granted without the permission of the requester. 

      Should you have any questions in this matter, please contact:  [CONTACT PERSON].

                        Sincerely,

					[SIGNATORY AND TITLE]

Enclosures

	SAMPLE LETTER E: TSCA 

                                                                  OMB 2020-0003
                                                              Approval expires 
                                                                               
                                                                               
                                                                               
                                                                               

By Certified U.S. Mail; Return Receipt Requested

                 MAY CONTAIN CONFIDENTIAL BUSINESS INFORMATION

[Technical Contact Name, title, Company, and Address]

Re: Notice of Review and Request for Substantiation of Confidential Business Information Claim(s) 

Document Type:
Document Identifying Number:
Date of Submission:  
Type of claim(s) to be reviewed:	 specific chemical identity
					 all other CBI claims 

Dear [Addressee]:

Under the Toxic Substance Control Act (TSCA) most confidential business information (CBI) claims for chemical identity and at least 25% of other CBI claims are subject to a review and final determination.  TSCA section 14(g).  15 U.S.C. § 2613(g).

This letter is to notify you that the U.S. Environmental Protection Agency (EPA) Office of General Counsel will be making a final confidentiality determination concerning information you have claimed as CBI, as identified above.  All non-exempt CBI claims must be substantiated.  

If you feel that some or all of the information checked above is entitled to confidential treatment, you must substantiate as described below with specific reference to those portions of the information you consider confidential. 

Note that TSCA section 14(c)(2) generally exempts certain information types from the requirement to substantiate.  15 U.S.C. § 2613(c)(2).  See EPA webpage [INSERT WEBPAGE] for more guidance on information exempt from substantiation.  To the extent that you believe the information that you have claimed as CBI is one of these exempt information types, you may make this assertion in your response by identifying the specific section 14(c)(2) exemption, in lieu of substantiating the CBI claim for that information.  If the Agency disagrees with this assertion, you may be asked to provide additional information to support your claim.

Substantiating a CBI Claim.

There are two different sets of substantiation questions for CBI claims: (I) questions for all CBI claims in the submission; and (II) questions for chemical identity CBI claims.  Please use the appropriate question set.  In some instances, your TSCA submission may contain both types of CBI claims or a CBI claim may require completing both sets of substantiation questions.  For example, if you assert a CBI claim to protect a chemical substance's identity, then you must answer both question sets.  EPA has identified the appropriate question set(s) via the checkboxes at the top of this letter.  In some instances, for example TSCA section 8(a) Chemical Data Reporting (CDR) Rule submissions, you may have already provided up-front substantiations for some of the CBI claims.  If you have already substantiated your CBI claim at the time of submission, please refer to or preferably physically attach your substantiation to your response to this letter.

Note also that the providing of incorrect information in this substantiation request may be a failure to comply with TSCA, specifically 15 U.S.C. § 2614.

 REQUIRED FOR ALL CBI CLAIMS.  
   
If you are asserting ANY information in the submission as CBI, please answer the following questions. 

In supporting your CBI claim(s), please be specific by page, paragraph, sentence, or by data element when identifying and substantiating the information subject to your claim.  Where your claim, as originally made or as modified by your response to this letter, does not include all information on a page, please attach a copy of each such page with brackets around the text that you claim to be CBI.  

In some cases, it may be appropriate to group the information into a class of information rather than responding to each item claimed as CBI. See EPA webpage [INSERT WEBPAGE] for suggested approaches to providing substantiations of materials grouped.  For any information that is not specifically identified as subject to a confidentiality claim and substantiated as such in your response to this letter, it shall be determined that you have waived your CBI claim, pursuant to 40 C.F.R. § 2.205(d).

For each item or class of information that you continue to claim as CBI, please answer the following questions, giving as much detail as possible. Your substantiation response to these questions will be used by the EPA to determine whether the information has been shown to be entitled to confidential treatment:

    Do you believe that any of the information claimed as CBI is exempt from substantiation pursuant to TSCA section 14(c)(2)?  Yes/No.

      If you answered yes, please identify the information, provide the specific exemption and answer no further questions related to that information.
      
      If you answered no, please respond to the questions below.

    Will disclosure of the information likely result in substantial harm to your business competitive position?  Yes/No. 

If you answered yes, please describe with specificity the substantial harmful effects that would result to your competitive position if the CBI information is made available to the public.  In your answer, explain the causal relationship between disclosure and any resulting substantial harmful effects. Consider in your answer such constraints as capital and marketing cost, specialized technical expertise, or unusual processes and your competitor's access to your customers. 
   
    To the extent you have disclosed information to others (both internally and externally), what precautions has your business taken?  Please identify any measures or internal controls your business has taken to protect the information claimed as confidential.  

 Non-disclosure agreement required prior to access.  Yes/No
 Access is limited to individuals with a need-to-know.  Yes/No
 Information is physically secured (e.g. locked in room or cabinet) or electronically secured (encrypted, password protected, etc.).  Yes/No
 Other internal control measure(s).  If so, please explain.  

    Does the information claimed as confidential appear in any public documents, including (but not limited to) safety data sheet, advertising or promotional material, professional or trade publication, or any other media or publications available to the general public?  Yes/No.
      
      If you answered yes, please explain why the information should nonetheless be treated as confidential.

    Does the information claimed to be CBI contain (a) trade secret(s) ?  Yes/No
   
If yes, please explain the reason for your belief. Please attach copies of those pages containing such information with brackets around the text that you claim to be (a) trade secret(s).

    If you assert a claim of confidentiality that is less than 10 years (see TSCA section 14(e)(1)(B)), then please indicate the number of years (between 1-10 years) or specific date of which the claim is withdrawn. 
      
    Has EPA, another federal agency, or court made any confidentiality determination regarding information associated with this substance? Yes/No.  

      If yes, please explain the outcome of that determination and provide EPA with a copy of the previous confidentiality determination or any information that will assist the Agency in identifying the prior determination.
   
 REQUIRED FOR ONLY CHEMICAL IDENTITY CBI CLAIMS.

If you are claiming a specific chemical identity as CBI, please answer the additional following questions.  If you are not substantiating a chemical identity CBI claim, then you do not need to respond to the questions below.

    Is the chemical substance on the confidential portion of the TSCA Inventory?  Yes/No.

    Commerce: 
          Has the chemical substance (or mixture) been offered for commercial distribution?  Yes/No.
         
          Is the chemical substance known to be in U.S. commerce?  Yes/No.

      If you answered yes, please explain why the information should nonetheless be treated as confidential.

    Disclosure of the specific chemical name would release: 
                  
          Confidential process information.  Yes/No.
          Confidential portion of a mixture information.  Yes/No.
        
      If you answered yes to either question, please explain.
          
Asserting a CBI claim in your substantiation response.

Businesses may claim their substantiation response as CBI.  Information claimed as confidential should be clearly marked by bracketing, circling, or underlining. All pages containing such information must also be stamped "CONFIDENTIAL BUSINESS INFORMATION" or with similar designation in order to assert a confidentiality claim. Care should be taken to ensure that these markings do not obscure the text.

If you claim your substantiation response as CBI, you must include the following statement in the submission. 

      I hereby certify to the best of my knowledge and belief that all information entered on this form is complete and accurate.  
      I further certify that, pursuant to 15 U.S.C. § 2613(c), for all claims for confidentiality made with this submission, all information submitted to substantiate such claims is true and correct, and that it is true and correct that
             My company has taken reasonable measures to protect the confidentiality of the information; 
             I have determined that the information is not required to be disclosed or otherwise made available to the public under any other Federal law;
             I have a reasonable basis to conclude that disclosure of the information is likely to cause substantial harm to the competitive position of my company; and 
             I have a reasonable basis to believe that the information is not readily discoverable through reverse engineering.
      
      Any knowing and willful misrepresentation is subject to criminal penalty pursuant to 18 U.S.C. § 1001.
      
Timely Responses and Postal Requirements

Your substantiation response must be postmarked or hand delivered to this office by the 15th working day after your receipt of this letter.  While it is anticipated that there will be a means for sending these to the Agency electronically in the future, at this point substantiations should be sent via US Mail or courier.

Filings should be directed to the below address.
      
      TSCA Confidential Business Information Center (7407M)
WJC East; Room 6428; Attn: TSCA CBI Substantiations
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW
Washington, DC 20460-0001
      
      Courier Deliveries:
      
U.S. EPA
Office of Pollution Prevention and Toxics
      Confidential Business Information Center (CBIC)
      Attn: TSCA CBI Substantiations
      1201 Constitution Avenue, NW
WJC East; Room 6428
Washington, DC 20004-3302
      (202) 564-8930

You may seek an extension of time to submit your substantiation response to this office, but the request must be made before the end of the 15-day period.  Requests for an extension may be directed to Ms. Quoc Nguyen, Office of General Counsel, Nguyen.Quoc@epa.gov.

Failure to timely submit your substantiation response will be regarded as a waiver of your confidentiality claim or claims, and the EPA may release the information. 

Should you have any questions concerning this matter, please contact Mr. Scott Sherlock, (202) 564-8257 and Sherlock.Scott@epa.gov; or Ms. Jessica Barkas, (202) 250-8880 and Barkas.Jessica@epa.gov.
                              Sincerely, 
                                                      
                                    [Signature and Title ;   Office Name and Address]