Un.ted States tnvironmental Protection Agency Office of Toxic Substances Washyiqton DC 20460 July 1978 Toxic Substances SEPA TSCA Confidential Business Information Security Briefing Booklet ------- "Because it's so important for us to have this {confidential business] information to carry out TSCA, we have made considerable effort to develop security procedures for handling it that we believe are second to none, in government or in industry. But any security system of this kind is only as good as the people who maintain it. Its effectiveness depends on constant, careful adherence to established procedures by each and every person involved. I urge you to study and leam these procedures and to encourage those who work with you to do the same." From remarks by Steve Jellinek, Assistant Administrator for Toxic Substances, in the preface to the TSCA Confidential Business Information Security Manual. ------- TSCA CONFIDENTIAL BUSINESS INFORMATION SECURITY BRIEFING BOOKLET "You are responsible and accountable for all TSCA Confidential Business Information that you receive" INTRODUCTION The TSCA Confidential Business Information Security Manual prescribes minimum standards and establishes responsibility and ac- countability for the control and physical security of documents that contain confidential business information received under the Toxic Substances Control Act (TSCA). You as an authorized person,** must know the requirements of the Manual. This booklet summarizes some important points for you but is not intended to be a substitute for thorough knowledge of the Manual. When you have any questions about security procedures or need clarification or interpretation of points in this Booklet or in the Manual, ASK YOUR DOCUMENT CONTROL OFFICER JDCO). He/she is the person responsible for the overall security, control and distribution of confidential business information received in his/her Of- fice, Region or Laboratory. **Only authorized persons should receive TSCA Confidential Business Information. However, all employees are bound by section 14 of TSCA and by the procedures in the Manual. If, through error or negligence, an unauthorized employee receives any TSCA Confidential Business Information, he/she should take it immediately to the nearest Document Control Officer (DCO), or, if there is no DCO, to his/her supervisor. ------- POLICY It is the policy of EPA to take all reasonable measures to prevent the unauthorized disclosure of Confidential Business Information. EPA employees are prohibited from disclosing, in any manner and to any extent not authorized by law or EPA regulations, any TSCA Confiden- tial Business Information coming to them in the course of their employment or official duties. TSCA Confidential Business Information is to be held in confidence, and handled in accordance with the procedures set forth in the TSCA Confidential Business Information Security Manual. TREATMENT OF VIOLATIONS A "violation" is the failure to comply with any provision in the TSCA Confidential Business Information Security Manual, whether or not such failure leads to actual unauthorized disclosure of TSCA Con- fidential Business Information. ------- If you violate the procedures in the Manual, you may be removed from the authorized access list and be subject to disciplinary action with penalties up to and including dismissal, under policies and pro- cedures in the EPA Conduct and Discipline Manual. If you willfully make any unauthorized disclosure of TSCA Confidential Business Information, you may be subject to a fine of not more than $5,000 or imprisonment for not more than one year or both, in addi- tion to Administrative disciplinary action. EMPLOYEE RESPONSIBILITIES You are responsible for the control and security of all TSCA Confiden- tial Business Information you receive. Specifically, you shall: Discuss TSCA Confidential Business Information only with authorized persons. "Actually it's not so bad. You get used to it very quickly" ------- Safeguard TSCA Confidential Business Information when in ac- tual use by: keeping it under constant surveillance and being in a position to exercise direct physical control over it. Covering it, turning it face down, placing it in approved storage containers, or otherwise protecting it when unauthor- ized persons are present. Returning it to approved storage containers when not in use and at close of business. Store TSCA Confidential Business Information when not in use and at close of business, at a minimum, within a metal cabinet with a bar and a three-way changeable combination padlock ap- proved by the Security and Inspection Division (SID). Safeguard combinations to locks, safes, and rooms that contain TSCA Confidential Business Information, and have them changed once each year or every time a person who knows the combination terminates or transfers, whichever comes first. Immediately report possible violations of TSCA or of the pro- cedures in the TSCA Confidential Business Information Security Manual to SID. Not reproduce TSCA Confidential Business Information documents. Copies must be obtained through a DCO. Not destroy TSCA Confidential Business Information documents except upon approval by and under the supervision of a DCO. Not discuss TSCA Confidential Business Information over the telephone except with the written approval of an Assistant Ad- ministrator, Head of Staff Office, Regional Administrator, or Laboratory Director. ------- HANDLING OF INCOMING MAIL If your incoming mail contains any TSCA Confidential Business Infor- mation, take it to your DCO immediately upon receipt so that it may be entered into the document control system. If you open any incom- ing mail and discover an inner envelope, take the inner envelope to your DCO to be opened. Any correspondence from industry that is marked "confidential," "priorietary information," "company secret," etc., or otherwise contains a request for confidential treatment, should also be taken to your DCO. Any registered mail received should be opened immediately by the ad- dressee or his/her secretary. If it contains any confidential business in- formation, it should be taken to the DCO immediately. Any registered mail that is not addressed to a specific person should be taken to the DCO immediately. Do not leave registered mail in in-boxes overnight! For the period of time that you hve "unlogged" confidential business information in your possession, you are responsible for safeguarding it. If you do not take it immediately, ,o your DCO, you are guilty of a violation of security. ------- AUTHOR/ZED PERSONS SECRETARIAL PROCEDURES If you are responsible for typing anything which contains TSCA Con- fidential Business Information, you must safeguard the original and all "mag" cards, one-time ribbons that can be read backwards, drafts, scratch paper, notes and any other materials which may contain con- fidential business information. Do not make any carbons or copies of the document. You must ensure that no unauthorized person can see what you are typing. If you must stop before the task is finished (lunch or close of business, for instance), take all materials that may contain confidential business information to the author for safeguarding. Leave nothing in your typewriter or on your desk which might lead to the unauthorized disclosure of TSCA Confidential Business Information. When the typing is completed, take the original and all other materials to the author who will in turn take them to the DCO. The DCO will enter«the original into the document control system and destroy all other materials. ------- GAINING ACCESS TO TSCA CONFIDENTIAL BUSINESS INFORMATION When you require access to TSCA Confidential Business Information to perform your official duties, you should request the required docu- ment from your DCO. The DCO will: verify that you are on the authorized access list, and if you request access to Special Category** information, that such access has been approved. obtain the document and make a copy of it.*** enter the appropriate information in the User Copy Sign Out Log (EPA Form 7710-11) and on the Cover Sheet (EPA Form 7710-6). The document you receive should have a document control number, a Cover Sheet and a TSCA Confidential Business Information stamp. If you have appropriate storage capability, you may sign the docu- ment out for a maximum of 30 days. Otherwise, the document must be returned to the DCO by the close of business that same day. MEETINGS If you are the chairperson for any meeting, symposium, panel discus- sion or seminar at which TSCA Confidential Business Information will be discussed, you shall: Provide a sign-in sheet, including the date, time, place and sub- ject of the meeting and require all attendees to sign it and record their EPA identification badge number. The sign-in sheet should be given to the appropriate DCO who will retain it for one year. **Special Category TSCA Confidential Business Information relates to a) confidential chemical identities, b) product formulations, and c) specific processes used in manufacturing or processing chemical substances. Requests for access to this information must be specific, in writing, and approved by the Assistant Administrator for Toxic Substances before the DCO will permit access. ***The original remains with the DCO. ------- "Before we begin our meeting, let's review our responsibilities" Ensure that only authorized persons are present and announce that confidential business information is to be discussed. Review with the attendees their responsibility for safeguarding confidential business information in any and all forms, including, but not limited to any notes taken, and any subsequent discus- sions. Ensure that no recording is made of the meeting unless you have authorized it. Any recording must be treated as all other con- fidential business information and entered into the document control system. Ensure that the meeting room is secured after the meeting. This shall include erasing all blackboards, destroying all tear sheets and other notes and ensuring that nothing is left in the room which could lead to the unauthorized disclosure of confidential business information. ------- TRANSMISSION OF TSCA CONFIDENTIAL BUSINESS INFORMATION i i External Requests for TSCA Confidential Business Information which require the transmission of documents from one EPA facility to another, or to persons or parties outside EPA must be in writing and signed by the appropriate Assistant Administrator, Head of Staff Office, Regional Administrator, or Laboratory Director. Ordinarily, such requests will be handled through the local DCO. However, where a DCO is not available, you may have to handle the transmission. You must transmit TSCA Confidential Business Information by Registered Mail, return receipt requested, in a double envelope. The \inner envelope must reflect the address of the recipient with the following additional wording on the front side: CONFIDENTIAL BUSINESS INFORMATION TO BE OPENED BY ADDRESSEE ONLY The outer envelope must reflect the normal address without the addi- tional wording. You may handcarry TSCA Confidential Business Information to other EPA facilities, or to persons or parties outside EPA, providing the dispatching DCO maintains a record and obtains a receipt from the person receiving the information. Information being handcarried should be packaged in a double envelope as described in the preceding paragraph. Internal Within an EPA installation, you must hand-deliver TSCA Confidential Business Information to other authorized persons. At no time shall TSCA Confidential Business Information be transmitted through inter- office mailing channels. ------- Transfer of Custody Within your Division, you may transfer custody of a confidential business information document to another authorized person by using the Loan Receipt for TSCA Confidential Business Information (EPA Form 7710-14). You must furnish a copy of the Loan Receipt to your DCO. The secondary recipient shall also sign the Cover Sheet of the document. * GENERATION OF TSCA CONFIDENTIAL BUSINESS INFORMATION DOCUMENTS If you generate a new document from extracts of existing TSCA Con- fidential Business Information documents (except notes covered in the next paragraph), you must take the newly generated document to your DCO who shall: Identify it by stamping it "TSCA Confidential Business Informa- tion" and "Extracts from document # , dated » II." Enter it into the document control system and safeguard it as all other TSCA Confidential Business Information. NOTES CONTAINING TSCA CONFIDENTIAL BUSINESS INFORMATION If you take notes from a TSCA Confidential Business Information document, a meeting, or any other source, you must protect the notes as TSCA Confidential Business Information. If the notes are to be circulated to other authorized persons, they shall be entered into the Document control system. Any document generated from the notes shall be treated as specified in the preceding paragraph. ------- LOST OR UNACCOUNTED FOR DOCUMENTS If you become aware that a TSCA Confidential Business Information document is lost or otherwise unaccounted for, you should im- mediately notify the appropriate local DCO who shall notify the OTS DCO. If the document is not located within a reasonable time, the matter shall be referred to SID. WHO CAN I TURN TO? If you need clarification or interpretation of any of the procedures in the TSCA Confidential Business Information Security Manual, ASK YOUR DCO, or in his/her absence the OTS DCO or your supervisor. Whenever you are uncertain about what to do in a given situation, ASK YOUR DCO! Better to be safe than sorry! PEOPLE YOU MAY NEED LOCAL DCO OTS DCO LOCAL SECURITY REPRESENTATIVE SECURITY & INSPECTION DIVISION, EPA HEADQUARTERS NAME PHONE ------- |