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PART 10—ADMINISTRATIVE CLAIMS takenly addressed to or filed with EPA UNDER FEDERAL TORT CLAIMS ACT shall forthwith be transferred to the apSubpart A-General

propriate Federal agency, if ascertainSec.

able, or returned to the claimant. 10.1 Scope of regulations.

(b) A claim presented in compliance Subpart B-Procedures

with paragraph (a) of this section may 10.2 Administrative claim; when pre

be amended by the claimant at any time sented; place of filing.

prior to final action by the Adminis10.3 Administrative claim; who may file. trator, or his designee, or prior to the

Administrative claim; evidence to be exercise of the claimant's option to bring submitted.

suit under 28 U.S.C. 2675(a). Amend10.5 Investigation, examination, and de

ments shall be submitted in writing and termination of claims.

signed by the claimant or his duly au10.6 Final denial of claim. 10.7 Payment of approved claims.

thorized agent or legal representative. 10.8 Release.

Upon the timely filing of an amendment 10.9 Penalties.

to a pending claim, EPA shall have 6 10.10 Limitations on Environmental Protec months in which to make a final disposition Agency's authority.

tion of the claim as amended and the 10.11 Relationship to other Agency regula claimant's option under 28 U.S.C. 2675 tions.

(a) shall not accrue until 6 months after AUTHORITY: Sec. 1, 80 Stat. 306; 28 U.S.C. the filing of an amendment. 2672; 28 CFR Part 14.

(c) Forms may be obtained and claims SOURCE: 38 FR 16868, June 27, 1973, unless may be filed with the office, local, reotherwise noted.

gional, or headquarters, of the constitSubpart A-General

uent organization having jurisdiction

over the employee involved in the acci$ 10.1 Scope of regulations.

dent or incident, or with the EPA Claims The regulations in this part shall

Officer, Waterside Mall Building, 401 M apply only to claims asserted under the

Street SW., Washington, D.C. 20460. Federal Tort Claims Act, as amended, 28 § 10.3 Administrative claims; who may U.S.C. sections 2671-2680, accruing on

file. or after January 18, 1967, for money

(a) A claim for injury to or loss of damages against the United States for

property may be presented by the owner damages to or loss of property or per

of the property interest which is the subsonal injury or death, caused by the neg

ject of the claim, his duly authorized ligent or wrongful act or omission of any

agent, or his legal representative. employee of the Environmental Protec

(b) A claim for personal injury may tion Agency (EPA) while acting within

be presented by the injured person, his the scope of his office of employment.

duly authorized agent, or his legal repSubpart B—Procedures

resentative. 10.2 Administrative claim; when pre

(c) A claim based on death may be sented; place of filing.

presented by the executor or adminis

trator of the decedent's estate or by any (a) For purpose of the regulations in

other person legally entitled to assert this part, a claim shall be deemed to

such a claim under applicable State law. have been presented when the Environ

(d) A claim for loss wholly compenmental Protection Agency receives, at a

sated by an insurer with the rights of a place designated in paragraph (c) of

subrogee may be presented by the insurer. this section, an executed Standard Form

A claim for loss partially compensated by 95 or other written notification of an

an insurer with the rights of a subrogee incident accompanied by a claim for

may be presented by the insurer or the money damages in a sum certain for

insured individually as their respective damage to or loss of property, for per

interests appear, or jointly. Whenever an sonal injury, or for death, alleged to

insurer presents a claim asserting the have occurred by reason of the incident.

rights of a subrogee, he shall present with A claim which should have been pre his claim appropriate evidence that he sented to EPA, but which was mistakenly has the rights of a subrogee. addressed to or filed with another Fed (e) A claim presented by an agent or eral agency, shall be deemed to be pre- legal representative shall be presented in sented to EPA as of the date that the the name of the claimant, be signed by claim is received by EPA. A claim mis- the agent or legal representative, show

the title or legal capacity of the person signing, and be accompanied by evidence of his authority to present a claim on behalf of the claimant as agent, executor, administrator, parent, guardian, or other representative. § 10.4 Evidence to be submitted.

(a) Death-In support of a claim based on death, the claimant may be required to submit the following evidence or information:

(1) An authenticated death certificate or other competent evidence showing cause of death, date of death, and age of the decedent.

(2) Decedent's employment or occupation at time of death, including his monthly or yearly salary or earnings (if any), and the duration of his last employment or occupation.

(3) Full names, addresses, birth dates, kinship, and marital status of the decedent's survivors, including identification of those survivors who were dependent for support upon the decedent at the time of his death.

(4) Degree of support afforded by the decendent to each survivor dependent upon him for support at the time of his death.

(5) Decedent's general physical and mental condition before death.

(6) Itemized bills for medical and burial expenses incurred by reason of the incident causing death, or itemized receipts of payments for such expenses.

(7) If damages for pain and suffering prior to death are claimed, a physician's detailed statement specifying the injuries suffered, duration of pain and suffering, any drugs administered for pain and the decedent's physical condition in the interval between injury and death.

(8) Any other evidence or information which may have a bearing on either the responsibility of the United States for the death or the damages claimed.

(b) Personal Injury-In support of a claim for personal injury, including pain and suffering, the claimant may be required to submit the following evidence or information:

(1) A written report by his attending physician or dentist setting forth the nature and extent of the injury, nature and extent of treatment, any degree of temporary or permanent disability, the prognosis, period of hospitalization, and any diminished earning capacity. In addition, the claimant may be required to submit to a physical or mental exami

nation by a physician employed or designated by EPA. A copy of the report of the examining physician shall be made available to the claimant upon the claimant's written request provided that the claimant has, upon request, furnished the report referred to in the first sentence of this subparagraph and has made or agrees in writing to make available to EPA any other physician's reports previously or thereafter made of the physical or mental condition which is the subject matter of his claim.

(2) Itemized bills for medical, dental, hospital and related expenses incurred, or itemized receipts of payment for such expenses.

(3) If the prognosis reveals the necessity for future treatment, a statement of expected duration of and expenses for such treatment.

(4) If a claim is made for loss of time from employment, a written statement from his employer showing actual time lost from employment, whether he is a full or part-time employee, and wages or salary actually lost.

(5) If a claim is made for loss of income and the claimant is self-employed, documentary evidence showing the amount of earnings actually lost.

(6) Any other evidence or information which may have a bearing on the responsibility of the United States for either the personal injury or the damages claimed.

(c) Property Damage. In support of a claim for damage to or loss of property, real or personal, the claimant may be required to submit the following evidence or information:

(1) Proof of ownership.

(2) A detailed statement of the amount claimed with respect to each item of property.

(3) An itemized receipt of payment for necessary repairs or itemized written estimates of the cost of such repairs.

(4) A statement listing date of purchase, purchase price, market value of the property as of date of damage, and salvage value, where repair is not economical.

(5) Any other evidence or information which may have a bearing on the responsibility of the United States either for the injury to or loss of property or for the damage claimed.

(d) Time Limit. All evidence required to be submitted by this section shall be furnished by the claimant within a reasonable time. Failure of a claimant to furnish evidence necessary to a determination of his claim within three months after a request therefor has been mailed to his last known address may be deemed an abandonment of the claim. The claim may be thereupon disallowed. $ 10.5 Investigation, examination, and

determination of claims. When a claim is received, the constituent unit out of whose activities the claim arose shall make such investigation as may be necessary or appropriate for a determination of the validity of the claim.

A full account of this investigation, together with all pertinent documentary

effected in accordance with the provisions of paragraph (a) of this section. § 10.7 Payment of approved claim.

(a) Upon allowance of his claim, claimant or his duly authorized agent shall sign the voucher for payment, Standard Form 1145, before payment is made.

(b) When the claimant is represented by an attorney, the youcher for payment (SF 1145) shall designate both the claimant and his attorney as "payees.” The check shall be delivered to the attorney whose address shall appear on the voucher.

(c) No attorney shall charge fees in excess of 25 percent of a judgment or

mendation based on the merits of the case, shall be forwarded through regular supervisory channels to the EPA Claims Officer, Washington, D.C. 20460, to whom authority has been delegated to adjust, determine, compromise, and settle tort claims under the direction of the Director, Facilities and Support Services Division, and with the advice of the General Counsel or his designee. § 10.6 Final denial of claim.

(a) Final denial of an administrative claim shall be in writing and sent to the claimant, his attorney, or legal representative by certified or registered mail. The notification of final denial may include a statement of the reasons for the denial and shall include a statement that, if the claimant is dissatisfied with EPA's action, he may file suit in an appropriate U.S. District Court not later than 6 months after the date of mailing of the notification.

(b) Prior to the commencement of suit and prior to the expiration of the 6month period after the date of mailing by certified or registered mail of notice of final denial of the claim as provided in 28 U.S.C. 2401(b), a claimant, his duly authorized agent, or legal representative, may file a written request with the EPA for reconsideration of a final denial of a claim under paragraph (a) of this section. Upon the timely filing of a request for reconsideration, EPA shall have 6 months from the date of filing in which to make a final disposition of the claim and the claimant's option under 28 U.S.C. 2675(a) to bring suit shall not accrue until 6 months after the filing of a request for reconsideration. Final action on a request for reconsideration shall be

20 percent of administrative settlements (28 U.S.C. 2678). § 10.8 Release.

Acceptance by the claimant, his agent or legal representative of any award, compromise or settlement made hereunder, shall be final and conclusive on the claimant, his agent or legal representative and any other person on whose behalf or for whose benefit the claim has been presented, and shall constitute a complete release of all claims against either the United States or any employee of the Government arising out of the same subject matter. § 10.9 Penalties.

A person who files a false claim or makes a false or fraudulent statement in a claim against the United States may be liable to a fine of not more than $10,000 or to imprisonment of not more than 5 years, or both (18 U.S.C. 287.1001), and, in addition, to a forfeiture of $2,000 and a penalty of double the loss or damage sustained by the United States (31 U.S.C. 231), 8 10.10 Limitation on Environmental

Protection Agency's authority. (a) An award, compromise or settlement of a claim hereunder in excess of $25,000 shall be effected only with the prior written approval of the Attorney General or his designee. For the purposes of this paragraph, a principal claim and any derivative or subrogated claim shall be treated as a single claim.

(b) An administrative claim may be adjusted, determined, compromised or settled hereunder only after consultation with the Department of Justice


when, in the opinion of the Environ- PART 11-SECURITY CLASSIFICAmental Protection Agency:

TION REGULATIONS PURSUANT TO (1) A new precedent or a new point

EXECUTIVE ORDER 11652 of law is involved; or

(2) A question of policy is or may be Sec. involved; or

11.1 Purpose. (3) The United States is or may be

11.2 Background.

11.3 Responsibilities. entitled to indemnity or contribution

11.4 Definitions. from a third party and the Agency is un 11.5 Procedures. able to adjust the third party claim; or 11.6 Access by Historical Researchers and (4) The compromise of a particular

Former Government Officials. claim, as a practical matter, will or may

AUTHORITY: Executive Order 11652 (37 FR control the disposition of a related claim 5209, March 10, 1972) and the National Sein which the amount to be paid may curity Directive of May 17, 1972 (37 FR 10053, exceed $25,000.

May 19, 1972). (c) An administrative claim may be

SOURCE: 37 FR 23541, Nov. 4, 1972, unless adjusted, determined, compromised, or

otherwise noted. settled by EPA hereunder only after consultation with the Department of Justice

§ 11.1 Purpose. when EPA is informed or is otherwise These regulations establish policy and aware that the United States or an em- procedures governing the classification ployee, agent, or cost-plus contractor of and declassification of national security the United States is involved in litiga information. They apply also to information based on a claim arising out of the tion or material designated under the same incident or transaction.

Atomic Energy Act of 1954, as amended, § 10.11 Relationship to other agency

as "Restricted Data," or "Formerly Reregulations.

stricted Data" which, additionally, is

subject to the provisions of the Act and The regulations in this part supple regulations of the Atomic Energy Comment the Attorney General's regulations in Part 14 of Chapter 1 of Title 28, Code of Federal Regulations, as amended. 8112 Ba

8 11.2 Background. Those regulations, including subsequent While the Environmental Protection amendments thereto, and the regula Agency does not have the authority to tions in this part apply to the considera- originally classify information or mation by the Environmental Protection terial in the interest of the national seAgency of administrative claims under

curity, it may under certain circumthe Federal Tort Claims Act.

stances downgrade or declassify preEach of the four pre-existing agencies

viously classified material or generate that contributed parts of its organiza

documents incorporating classified infortion to the Environmental Protection

mation properly originated by other

agencies of the Federal Government Agency had published regulations to

which must be safeguarded. Agency govern the administrative disposition of

policy and procedures must conform to claims under the Federal Tort Claims

applicable provisions of Executive Order Act at the time Reorganization Plan No. 11652, and the National Security Council 3 of 1970 became effective: namely, De Directive of May 17, 1972, governing the partment of the Interior (43 CFR 22); safeguarding of national security inforDepartment of Health, Education, and mation. Welfare (45 CFR 35); Department of 11.3 Responsibilities. Agriculture (7 CFR 1, subchapter D);

(a) Classification and Declassification and Atomic Energy Commission (10 CFR

Committee: This committee, appointed 14). These regulations that are currently

by the Administrator, has the authority applicable to the various constituent

to act on all suggestions and complaints units of the Environmental Protection with respect to EPA's administration of Agency are hereby superseded upon pub this order. It shall establish procedures lication of the Agency's regulations with to review and act within 30 days upon all respect to claims asserted under the applications and appeals regarding reFederal Tort Claims Act involving em- quests for declassification. The Adminisployees of the Agency within scope of trator, acting through the committee, employment.

shall be authorized to overrule previous

determinations in whole or in part when, in its judgment, continued protection is no longer required. If the committee determines that continued classification is required under section 5(B) of Executive Order 11652, it shall promptly so notify the requester and advise him that he may appeal the denial to the Interagency Classification Review Committee.

(b) Director, Security and Inspection Division, Office of Administration: The Director, Security and Inspection Divi. sion, is responsible for the overall management and direction of a program designed to assure the proper handling and protection of classified information, and that classified information in the Agency's possession bears the appropriate classification markings. He also will assure that the program operates in accordance with the policy established herein, and will serve as Secretary of the Classification and Declassification Committee.

(c) Assistant Administrators, Regional Administrators, Heads of Staff Offices, Directors of National Environmental Research Centers are responsible for designating an official within their respective areas who shall be responsible for:

(1) Serving as that area's liaison with the Director, Security and Inspection Division, for questions or suggestions concerning security classification matters.

(2) Reviewing and approving, as the representative of the contracting offices, the DD Form 254, Contract Security Classification Specification, issued to contractors.

(d) Employees;

(1) Those employees generating documents incorporating classified information properly originated by other agencies of the Federal Government are responsible for assuring that the documents are marked in a manner consistent with security classification assignments.

(2) Those employees preparing information for public release are responsible for assuring that such information is reviewed to eliminate classified information.

(3) All employees are responsible for bringing to the attention of the Director, Security and Inspection Division, any security classification problems needing resolution. $ 11.4 Definitions.

(a) Classified information. Official information which has been assigned a security classification category in the in

terest of the national defense or foreign relations of the United States.

(b) Classified material. Any document, apparatus, model, film, recording, or any other physical object from which classified information can be derived by study, analysis, observation, or use of the material involved.

(c) Marking. The act of physically indicating the classification assignment on classified material.

(d) National security information. As used in this order this term is synonymous with “classified information.” It is any information which must be protected against unauthorized disclosure in the interest of the national defense or foreign relations of the United States.

(e) Security classification assignment. The prescription of a specific security classification for a particular area or item of information. The information involved constitutes the sole basis for determining the degree of classification assigned.

(f) Security classification category. The specific degree of classification (Top Secret, Secret or Confidential) assigned to classified information to indicate the degree of protection required.

(1) Top Secret. Top Secret refers to national security information or material which requires the highest degree of protection. The test for assigning Top Secret classification shall be whether its unauthorized disclosure could reasonably be expected to cause exceptionally grave damage to the national security. Examples of "exceptionally grave damage" include armed hostilities against the United States or its allies; disruption of foreign relations vitally affecting the national security; the compromise of vital national defense plans or complex cryptologic and communications intelligence systems; the revelation of sensitive intelligence operations; and the disclosure of scientific or technological developments vital to national security. This classification shall be used with the utmost restraint.

(2) Secret. Secret refers to that national security information or material which requires a substantial degree of protection. The test for assigning Secret classification shall be whether its unauthorized disclosure could reasonably be expected to cause serious damage to the national security. Examples of "serious damage" include disruption of foreign relations significantly affecting the national security; significant impair

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