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determinations in whole or in part when, terest of the national defense or foreign in its judgment, continued protection is relations of the United States. no longer required. If the committee de- (b) Classified material. Any docutermines that continued classification is ment, apparatus, model, film, recording, required under section 5(B) of Executive or any other physical object from which Order 11652, it shall promptly so notify classified information can be derived by the requester and advise him that he may study, analysis, observation, or use of appeal the denial to the Interagency the material involved. Classification Review Committee.

(c) Marking. The act of physically (b) Director, Security and Inspection indicating the classification assignment Division, Office of Administration: The on classified material. Director, Security and Inspection Divi- (d) National security information. As sion, is responsible for the overall man- used in this order this term is synonyagement and direction of a program de- mous with "classified information.” It is signed to assure the proper handling and any information which must be proprotection of classified information, and tected against unauthorized disclosure in that classified information in the the interest of the national defense or Agency's possession bears the appropriate foreign relations of the United States. classification markings. He also will as- (e) Security classification assignment. sure that the program operates in ac- The prescription of a specific security cordance with the policy established classification for a particular area or herein, and will serve as Secretary of item of information. The information inthe Classification and Declassification volved constitutes the sole basis for deCommittee.

termining the degree of classification (c) Assistant Administrators, Regional assigned. Administrators, Heads of Staff Offices, (f) Security classification category. Directors of National Environmental Re- The specific degree of classification (Top search Centers are responsible for desig- Secret, Secret or Confidential) assigned nating an official within their respective to classified information to indicate the areas who shall be responsible for: degree of protection required.

(1) Serving as that area's liaison with (1) Top Secret. Top Secret refers to the Director, Security and Inspection Di- national security information or matevision, for questions or suggestions con- rial which requires the highest degree of cerning security classification matters. protection. The test for assigning Top

(2) Reviewing and approving, as the Secret classification shall be whether its representative of the contracting offices, unauthorized disclosure could reasonably the DD Form 254, Contract Security be expected to cause exceptionally grave Classification Specification, issued to damage to the national security. Excontractors.

amples of "exceptionally grave damage" (d) Employees;

include armed hostilities against the (1) Those employees generating doc- United States or its allies; disruption of uments incorporating classified infor- foreign relations vitally affecting the namation properly originated by other tional security; the compromise of vital agencies of the Federal Government are national defense plans or complex crypresponsible for assuring that the docu- tologic and communications intelligence ments are marked in a manner consistent systems; the revelation of sensitive inwith security classification assignments. telligence operations; and the disclosure

(2) Those employees preparing infor- of scientific or technological developmation for public release are responsible ments vital to national security. This for assuring that such information is classification shall be used with the utreviewed to eliminate classified infor- most restraint. mation.

(2) Secret. Secret refers to that na(3) All employees are responsible for tional security information or material bringing to the attention of the Director, which requires a substantial degree of Security and Inspection Division, any protection. The test for assigning Secret security classification problems needing

classification shall be whether its unresolution.

authorized disclosure could reasonably

be expected to cause serious damage to § 11.4 Definitions.

the national security. Examples of "seri(a) Classified information. Official in- ous damage" include disruption of forformation which has been assigned a eign relations significantly affecting the security classification category in the in- national security; significant impairment of a program or policy directly be declassified in accordance with prorelated to the national security; revela- cedures set forth below. Also, the same tion of significant military plans or procedures will apply to the declassifiintelligence operations; and com- cation of any information in the promise of scientific or technological Agency's possession which originated in developments relating to national se- departments or agencies which no longer curity. The classification Secret shall be exist, except that no declassification will sparingly used.

occur in such cases until other depart(3) Confidential. Confidential refers ments having an interest in the subject to that national security information or matter have been consulted. Other clasmaterial which requires protection. The sified information in the Agency's test for assigning Confidential classifi- possession may be downgraded or decation shall be whether its unauthorized classified by the official authorizing its disclosure could reasonably be expected classification, by a successor in capacity, to cause damage to the national security. or by a supervisory official of either.

(1) General Declassification Sched$ 11.5 Procedures.

ule-(i) Top Secret. Information or (a) General. Agency instructions on material originally classified Top Secret access, marking, safekeeping, accounta- shall become automatically downgraded bility, transmission, disposition, and de- to Secret at the end of the second full struction of classification information calendar year following the year in which and material will be found in the EPA it was originated, downgraded to ConSecurity Manual for Safeguarding fidential at the end of the fourth full Classified Material. These instructions calendar year following the year in which shall conform with the National Secu- it was originated, and declassified at rity Council Directive of May 17, 1972, the end of the 10th full calendar year governing the classification, downgrad- following the year in which it was ing, declassification, and safeguarding originated. of National Security Information,

(ii) Secret. Information and material (b) Classification. (1) When informa

originally classified Secret shall become tion or material is originated within

automatically downgraded to ConfidenEPA and it is believed to require classifi- tial at the end of the second full calencation, the person or persons responsible dar year following the year in which it for its origination shall protect it in was originated, and declassified at the the manner prescribed for protection of end of the eighth full calendar year classified information. The information following the year in which it was will then be transmitted under appro- originated. priate safeguards to the Director, Secu

(iii) Confidential. Information and rity and Inspection Division, who will

material originally classified Confidential forward it to the department having

shall become automatically declassified primary interest in it with a request at the end of the sixth full calendar year that a classification determination be following the year in which it was made.

originated. (2) A holder of information or ma

(2) Exemption from the General Deterial which incorporates classified in

classification Schedule. Information or formation properly originated by other

material classified before June 1, 1972, agencies of the Federal Government

assigned to Group 4 under Executive shall observe and respect the classifi

Order No. 10501, as amended, shall be cation assigned by the originator.

subject to the General Declassification (3) If a holder believes there is un

Schedule. All other information necessary classification, that the as

material classified before June 1, 1972, signed classification is improper, or that whether or not assigned to Groups 1, 2, the document is subject to declassifi

or 3, of Executive Order No. 10501, as cation, he shall so advise the Director,

amended, shall be excluded from the Security and Inspection Division, who

General Declassification Schedule. Howwill be responsible for obtaining a

ever, at any time after the expiration of resolution.

10 years after the date of origin it shall (c) Downgrading and declassification.

be subject to a mandatory classification Classified information and material of - review and disposition in accordance with ficially transferred to the Agency dur- the following criteria and conditions: ing its establishment, pursuant to (i) It shall be declassified unless it Reorganization Plan No. 3 of 1970, shall falls within one of the following criteria:


(a) Classified information or material the requested material no longer warfurnished by foreign governments or in- rants classification, it shall be declassiternational organizations and held by fied and made promptly available to the the United States on the understanding requester, if not otherwise exempt from that it be kept in confidence.

disclosure under section 552(b) of title (b) Classified information or material 5 U.S.C. (Freedom of Information Act) specifically covered by statute, or per- or other provision of law. taining to cryptography, or disclosing (vi) Classification review requests. As intelligence sources or methods.

required by subdivision (ii) of this sub(c) Classified information or material paragraph of this order, a request for disclosing a system, plan, installation, classification review must describe the project, or specific foreign relations mat- document with sufficient particularity to ter, the continuing protection of which enable the Department or Agency to is essential to the national security. identify it and obtain it with a reasonable

(d) Classified information or material amount of effort. Whenever a request is the disclosure of which would place a deficient in its description of the record person in immediate jeopardy.

sought, the requester should be asked to (ii) Mandatory review of exempted provide additional identifying informamaterial. All classified information and tion whenever possible. Before denying a material originated after June 1, 1972, request on the ground that it is unduly which is exempted under any of the burdensome, the requester should be above criteria shall be subject to a classi- asked to limit his request to records that fication review by the originating depart- are reasonably obtainable. If nonetheless ment at any time after the expiration of the requester does not describe the rec10 years from the date of origin pro- ords sought with sufficient particularity, vided:

or the record requested cannot be ob(a) A department or member of the tained with a reasonable amount of efpublic requests a review;

fort, the requester shall be notified of the (b) The request describes the docu- reasons why no action will be taken ment or record with suficient particu- and of his right to appeal such decision. larity to enable the department to identify it; and

11.6 Access by historical researchers (c) The record can be obtained with a

and former Government officials. reasonable amount of effort.

(a) Access to classified information or (d) Information or material which no material may be granted to historical longer qualifies for exemption under any researchers or to persons who formerly of the above criteria shall be declassi- occupied policymaking positions to which fied. Information or material which con- they were appointed by the Presitinues to qualify under any of the above dent: Provided, however, That in each criteria shall be so marked, and, unless case the head of the originating Departimpossible, a date for automatic declassi- ment shall: fication shall be set.

(1) Determine that access is clearly (iii) All requests for "mandatory re

consistent with the interests of the naview” shall be directed to:

tional security; and

(2) Take appropriate steps to assure Director, Security and Inspection Division, Environmental Protection Agency, Wash

that classified information or material ington, D.C. 20460.

is not published or otherwise com

promised. The Director, Security and Inspection (b) Access granted a person by reason Division shall promptly notify the action of his having previously occupied a office of the request, and the action of

policymaking position shall be limited to fice shall immediately acknowledge re- those papers which the former official ceipt of the request in writing.

originated, reviewed, signed, or received (iv) Burden of proof for administra- while in public office, except as related tive determinations. The burden of proof to the “Declassification of Presidential is on the originating Agency to show that

Papers," which shall be treated as continued classification is warranted follows: within the terms of this subparagraph (1) Declassification of Presidential (2).

Papers. The Archivist of the United (v) Availability of declassified ma- States shall have authority to review terial. Upon a determination under sub- and declassify information and material division (ii) of this subparagraph, that which has been classified by a Presi

dent, his White House Staff or special committee or commission appointed by him and which the Archivist has in his custody at any archival depository, including a Presidential library. Such declassification shall only be undertaken in accord with:

(i) The terms of the donor's deed of gift;

(ii) Consultations with the Departments having a primary subject-matter interest; and

(iii) The provisions of g 11.5(c).


FACILITIES Sec. 20.1 Applicability. 20.2 Definitions. 20.3 General provisions. 20.4 Notice of intent to certify. 20.5 Applications. 20.6 State certification. 20.7 General policies. 20.8 Requirements for certification. 20.9 Cost recovery. 20.10 Revocation.

AUTHORITY: The provisions of this part 20 issued pursuant to secs. 301, 704, 80 Stat. 379, 83 Stat. 667; 5 U.S.C. 301, 26 U.S.C. 169.

SOURCE: The provisions of this Part 20 appear at 36 F.R. 22382, Nov. 25, 1971, unless otherwise noted. & 20.1 Applicability.

The regulations of this part apply to certifications by the Administrator of water or air pollution control facilities for purposes of section 169 of the Internal Revenue Code of 1954, as amended, 26 U.S.C. 169. Applicable regulations of the Department of the Treasury are set forth at 26 CFR 1.169 et seq. § 20.2 Definitions.

As used in this part, the following terms shall have the meaning indicated below:

(a) "Act" means, when used in connection with water pollution control facilities, the Federal Water Pollution Control Act, as amended (33 U.S.C. 1151 et seq.) or, when used in connection with air pollution control facilities, the Clean Air Act, as amended (42 U.S.C. 1857 et seq.).

(b) "State certifying authority" means:

(1) For water pollution control facilities, the State health authority, except that, in the case of any State in which there is a single State agency, other than

the State health authority, charged with responsibility for enforcing State laws relating to the abatement of water pollution, it means such other State agency; or

(2) For air pollution control facilities, the air pollution control agency designated pursuant to section 302(b) (1) of the Act; or

(3) For both air and water pollution control facilities, any interstate agency authorized to act in place of the certifying agency of a State.

(c) “Applicant” means any person who files an application with the Administrator for certification that a facility is in compliance with the applicable regulations of Federal agencies and in furtherance of the general policies of the United States for cooperation with the States in the prevention and abatement of water or air pollution under the Act.

(d) “Administrator" means the Administrator, Environmental Protection Agency.

(e) “Regional Administrator" means the Regional designee appointed by the Administrator to certify facilities under this part.

(f) "Facility” means property comprising any new identifiable treatment facility which removes, alters, disposes of or stores pollutants, contaminants, wastes, or heat.

(g) "State” means the States, the District of Columbia, the Commonwealth of Puerto Rico, the Canal Zone, Guam, American Samoa, the Virgin Islands, and the Trust Territory of the Pacific Islands. $ 20.3 General provisions.

(a) An applicant shall file an application in accordance with this part for each separate facility for which certification is sought; Provided, That one application shall suffice in the case of substantially identical facilities which the applicant has installed or plans to install in connection with substantially identical properties; Provided further, That an application may incorporate by reference material contained in an application previously submitted by the applicant under this part and pertaining to substantially identical facilities.

(b) The applicant shall, at the time of application to the State certifying authority, submit an application in the form prescribed by the Administrator to the Regional Administrator for the region in which the facility is located.


(c) Applications will be considered in compliance with requirements identicomplete and will be processed when the fied in $ 20.8; and if Regional Administrator receives the com- (2) The application is accompanied pleted State certification.

by a statement from the State certifying (d) Applications may be filed prior or authority that such facility, if consubsequent to the commencement of con- structed, reconstructed, acquired, struction, acquisition, installation, or erected, installed, and operated in acoperation of the facility.

cordance with such application, will be (e) An amendment to an application in conformity with the State program shall be submitted in the same manner or requirements for abatement or control as the original application and shall be of water or air pollution. considered a part of the original appli- (b) Notice of actions taken under cation.

this section will be given to the appro(f) If the facility is certified by the priate State certifying authority. Regional Administrator, notice of certifi

& 20.5 Applications. cation will be issued to the Secretary of the Treasury or his delegate, and a copy Applications for certification under of the notice shall be forwarded to the this part shall be submitted in such manapplicant and to the State certifying ner as the Administrator may prescribe, authority. If the facility is denied certifi- shall be signed by the applicant or cation, the Regional Administrator will agent thereof, and shall include the foladvise the applicant and State certifying lowing information: authority in writing of the reasons (a) Name, address, and Internal Revtherefor.

enue Service identifying number of the (g) No certification will be made by applicant; the Regional Administrator for any fa- (b) Type and narrative description of cility prior to the time it is placed in the new identifiable facility for which operation and the application, certification is (or will be) sought, inamended application, in connection with cluding a copy of schematic or engineersuch facility so states.

ing drawings, and a description of the (h) An applicant may appeal any function and operation of such facility; decision of the Regional Administrator (c) Address (or proposed address) of which:

facility location; (1) Denies certification;

(d) A general description of the oper(2) Disapproves the applicant's sug- ation in connection with which such gested method of allocating costs pur- facility is (or will be) used and a desuant to $ 20.8(e); or

scription of the specific process or proc(3) Revokes a certification pursuant to esses resulting in discharges or emis$ 20.10.

sions which are (or will be) controlled Any such appeal may be taken by filling

by the facility; with the Administrator within 30 days

(e) If the facility is (or will be) used from the date of the decision of the Re

in connection with more than one plant gional Administrator a written statement

or other property, one or more of which of objections to the decision appealed

were not in operation prior to January 1, from. Within 60 days, the Administrator

1969, a description of the operations

of the facility in respect to each plant shall afirm, modify, or revoke the decision of the Regional Administrator,

or other property, including a reasonable

allocation of the costs of the facility stating in writing his reasons therefor.

among the plants being serviced, and a 8 20.4 Notice of intent to certify.

description of the reasoning and ac(a) On the basis of applications sub

counting method or methods used to ar

rive at such allocation; mitted prior to the construction, recon

(f) Description of the effect of such struction, erection, acquisition, or oper- facility in terms of type and quantity ation of a facility, the Regional Admin- of pollutants, contaminants, wastes or istrator may notify applicants that such heat, removed, altered, stored, or disfacility will be certified if:

posed of by such facility; (1) The Regional Administrator de- (g) If the faciilty performs a function termines that such facility, if con- other than removal, alteration, storage, structed, reconstructed, erected, ac- or disposal of pollutants, contaminants, quired, installed, and operated in ac- wastes or heat, a description of all funccordance with such application will be tions performed by the facility, includ

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