Page images

the title or legal capacity of the person nation by a physician employed or signing, and be accompanied by evidence designated by EPA. A copy of the report of his authority to present a claim on be- of the examining physician shall be half of the claimant as agent, executor, made available to the claimant upon the administrator, parent, guardian, or other claimant's written request provided representative.

that the claimant has, upon request, $ 10.4 Evidence to be submitted.

furnished the report referred to in the

first sentence of this subparagraph and (a) Death-In support of a claim has made or agrees in writing to make based on death, the claimant may be re- available to EPA any other physician's quired to submit the following evidence

reports previously or thereafter made or information:

of the physical or mental condition (1) An authenticated death certificate

which is the subject matter of his claim. or other competent evidence showing

(2) Itemized bills for medical, dental, cause of death, date of death, and age of hospital and related expenses incurred, the decedent.

or itemized receipts of payment for such (2) Decedent's employment or occu

expenses. pation at time of death, including his (3) If the prognosis reveals the necesmonthly or yearly salary or earnings (if

sity for future treatment, a statement any), and the duration of his last em

of expected duration of and expenses ployment or occupation.

for such treatment. (3) Full names, addresses, birth dates, (4) If a claim is made for loss of time kinship, and marital status of the dece- from employment, a written statement dent's survivors, including identification

from his employer showing actual time of those survivors who were dependent lost from employment, whether he is a for support upon the decedent at the time

full or part-time employee, and wages of his death.

or salary actually lost. (4) Degree of support afforded by the (5) If a claim is made for loss of indecendent to each survivor dependent come and the claimant is self-employed, upon him for support at the time of his

documentary evidence showing the death.

amount of earnings actually lost. (5) Decedent's general physical and (6) Any other evidence or informamental condition before death.

tion which may have a bearing on the (6) Itemized bills for medical and

responsibility of the United States for burial expenses incurred by reason of either the personal injury or the the incident causing death, or itemized

damages claimed. receipts of payments for such expenses. (c) Property Damage. In support of

(7) If damages for pain and suffering a claim for damage to or loss of property, prior to death are claimed, a physician's real or personal, the claimant may be detailed statement specifying the injuries required to submit the following evidence suffered, duration of pain and suffering, or information: any drugs administered for pain and the (1) Proof of ownership. decedent's physical condition in the in- (2) A detailed statement of the terval between injury and death.

amount claimed with respect to each (8) Any other evidence or information item of property. which may have a bearing on either the (3) An itemized receipt of payment responsibility of the United States for for necessary repairs or itemized writthe death or the damages claimed.

ten estimates of the cost of such repairs. (b) Personal Injury-In support of a (4) A statement listing date of purclaim for personal injury, including pain chase, purchase price, market value of and suffering, the claimant may be re- the property as of date of damage, quired to submit the following evidence and salvage value, where repair is or information:

not economical. (1) A written report by his attending (5) Any other evidence or information physician or dentist setting forth the which may have a bearing on the renature and extent of the injury, nature sponsibility of the United States either and extent of treatment, any degree of for the injury to or loss of property or temporary or permanent disability, the for the damage claimed. prognosis, period of hospitalization, and (d) Time Limit. All evidence required any diminished earning capacity. In ad- to be submitted by this section shall be dition, the claimant may be required to furnished by the claimant within a submit to a physical or mental exami- reasonable time. Failure of a claimant to furnish evidence necessary to a de- effected in accordance with the provitermination of his claim within three sions of paragraph (a) of this section. months after a request therefor has been mailed to his last known address

§ 10.7 Payment of approved claim. may be deemed an abandonment of the (a) Upon allowance of his claim, claim. The claim may be thereupon

claimant or his duly authorized agent disallowed.

shall sign the voucher for payment,

Standard Form 1145, before payment is § 10.5 Investigation, examination, and

made. determination of claims.

(b) When the claimant is represented When a claim is received, the constitu- by an attorney, the voucher for payment ent unit out of whose activities the claim (SF 1145) shall designate both the arose shall make such investigation as claimant and his attorney as "payees.” may be necessary or appropriate for a The check shall be delivered to the attordetermination of the validity of the ney whose address shall appear on the claim.

voucher. A full account of this investigation, to- (c) No attorney shall charge fees in gether with all pertinent documentary excess of 25 percent of a judgment or materials, the claim itself, and a recom- settlement after litigation, or in excess of mendation based on the merits of the 20 percent of administrative settlements case, shall be forwarded through regular (28 U.S.C. 2678). supervisory channels to the EPA Claims

$ 10.8 Release. Officer, Washington, D.C. 20460, to whom authority has been delegated to adjust, Acceptance by the claimant, his agent determine, compromise, and settle tort or legal representative of any award, claims under the direction of the Direc- compromise or settlement made heretor, Facilities and Support Services Divi- under, shall be final and conclusive on sion, and with the advice of the General the claimant, his agent or legal repreCounsel or his designee.

sentative and any other person on whose

behalf or for whose benefit the claim has § 10.6 Final denial of claim.

been presented, and shall constitute a (a) Final denial of an administrative complete release of all claims against claim shall be in writing and sent to the either the United States or any employee claimant, his attorney, or legal repre- of the Government arising out of the sentative by certified or registered mail. same subject matter. The notification of final denial may include a statement of the reasons for the

§ 10.9 Penalties. denial and shall include a statement A person who files a false claim or that, if the claimant is dissatisfied with makes a false or fraudulent statement in EPA's action, he may file suit in an ap- a claim against the United States may propriate U.S. District Court not later be liable to a fine of not more than than 6 m ths after the date of mailing $10,000 or to imprisonment of not more of the notification.

than 5 years,

or both (18 U.S.C. (b) Prior to the commencement of suit 287.1001), and, in addition, to a forfeitand prior to the expiration of the 6- ure of $2,000 and a penalty of double month period after the date of mailing the loss or damage sustained by the by certified or registered mail of notice United States (31 U.S.C. 231). of final denial of the claim as provided in

§ 10.10 Limitation Environmental 28 U.S.C. 2401(b), a claimant, his duly

Protection Agency's authority. authorized agent, or legal representative, may file a written request with the EPA

(a) An award, compromise or settlefor reconsideration of a final denial of a

ment of a claim hereunder in excess of claim under paragraph (a) of this sec- $25,000 shall be effected only with the tion. Upon the timely filing of a request prior written approval of the Attorney for reconsideration, EPA shall have 6 General or his designee. For the purmonths from the date of filing in which poses of this paragraph, a principal to make a final disposition of the claim claim and any derivative or subrogated and the claimant's option under 28 U.S.C. claim shall be treated as a single claim. 2675(a) to bring suit shall not accrue (b) An administrative claim may be until 6 months after the filing of a re- adjusted, determined, compromised or quest for reconsideration. Final action settled hereunder only after consultaon a request for reconsideration shall be tion 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

mission. in Part 14 of Chapter 1 of Title 28, Code of Federal Regulations, as amended.

$ 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 infor

mation properly originated by other tion to the Environmental Protection

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); and Atomic Energy Commission (10 CFR

(a) Classification and Declassification

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, 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 res nsible 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 impair

ment of a program or policy directly related to the national security; revelation of significant military plans or intelligence operations; and compromise of scientific or technological developments relating to national security. The classification Secret shall be sparingly used.

(3) Confidential. Confidential refers to that national security information or material which requires protection. The test for assigning Confidential classification shall be whether its unauthorized disclosure could reasonably be expected to cause damage to the national security. § 11.5 Procedures.

(a) General. Agency instructions on access, marking, safekeeping, accountability, transmission, disposition, and destruction of classification information and material will be found in the EPA Security Manual


Safeguarding Classified Material. These instructions shall conform with the National Security Council Directive of May 17, 1972, governing the classification, downgrading, declassification, and safeguarding of National Security Information.

(b) Classification. (1) When information or material is originated within EPA and it is believed to require classification, the person or persons responsible for its origination shall protect it in the manner prescribed for protection of classified information. The information will then be transmitted under appropriate safeguards to the Director, Security and Inspection Division, who will forward it to the department having primary interest in it with a request that a classification determination be made.

(2) A holder of information or material which incorporates classified information properly originated by other agencies of the Federal Government shall observe and respect the classification assigned by the originator.

(3) If a holder believes there is unnecessary classification, that the assigned classification is improper, or that the document is subject to declassification, he shall so advise the Director, Security and Inspection Division, who will be responsible for obtaining a resolution.

(c) Downgrading and declassification. Classified information and material officially transferred to the Agency during its establishment, pursuant to Reorganization Plan No. 3 of 1970, shall

be declassified in accordance with procedures set forth below. Also, the same procedures will apply to the declassification of any information in

the Agency's possession which originated in departments or agencies which no longer exist, except that no declassification will occur in such cases until other departments having an interest in the subject matter have been consulted. Other classified information in the Agency's possession may be downgraded or declassified by the official authorizing its classification, by a successor in capacity, or by a supervisory official of either.

(1) General Declassification Schedule-(i) Top Secret. Information or material originally classified Top Secret shall become automatically downgraded to Secret at the end of the second full calendar year following the year in which it was originated, downgraded to Confidential at the end of the fourth full calendar year following the year in which it was originated, and declassified at the end of the 10th full calendar year following the year in which it was originated.

(ii) Secret. Information and material originally classified Secret shall become automatically downgraded to Confidential at the end of the second full calendar year following the year in which it was originated, and declassified at the end of the eighth full calendar year following the year in which it was originated.

(iii) Confidential. Information and material originally classified Confidential shall become automatically declassified at the end of the sixth full calendar year following the year in which it was originated.

(2) Exemption from the General Declassification Schedule. Information or material classified before June 1, 1972, assigned to Group 4 under Executive Order No. 10501, as amended, shall be subject to the General Declassification Schedule. All other information or material classified before June 1, 1972, whether or not assigned to Groups 1, 2, or 3, of Executive Order No. 10501, as amended, shall be excluded from the General Declassification Schedule. However, at any time after the expiration of 10 years after the date of origin it shall be subject to a mandatory classification review and disposition in accordance with the following criteria and conditions:

(i) It shall be declassified unless it falls within one of the following criteria:

« PreviousContinue »