Presentation
to the
Public Interest Declassification Board
Andrew Weston-Dawkes
James Wendt
Office of Classification
Office of Health, Safety and Security
U.S. Department of Energy
October 13, 2006
Office of Classification
Mission
Develops, policies, procedures, and guidance to identify:
(1) information that must be classified or controlled
under statute (RD,FRD and UCNI) or executive order
(NSI) to protect the national security
(2) classified or controlled information that may be
declassified or decontrolled.
(3) Reviews documents to ensure that documents are
properly marked and publicly released documents do not
contain classified or controlled information.
RD/FRD
DoD Program
FRD Joint Atomic Energy Act Energy Reorganization Act NRC
Responsibility
DOE Staff
Offices DHS
GC, IN, CN
Other Agencies
NNSA
DOS, CIA, DOJ
DOE Energy, Science
and Environment
10 CFR part 1045
Nuclear Classification and
Labs Plants Declassification
Office of Health, Safety and Security 9-8-06
Office of HS-1.31 Office of HS-1.21
HS-1.1 HS-1
HQ Security Operations Departmental Chief Health, Safety Office of HS-1.2 Business Operations
Representative Resource Management
and Security Officer
HS-1.32 HS-1.22
Office of Glenn S. Podonsky Office of
Personnel Security Information Management
Deputy Chief HS-1
Office of HS-1.33 Office of HS-1.3 Congressional HS-1 Office of HS-1.23
Security Operations for Operations Liaison and Outreach Human Resources
Special Operations Michael A. Kilpatrick Program Office & Administration
Deputy Chief for
Enforcement and
Technical Matters
HS-10 HS-20 HS-30 HS-40 HS-50 HS-60 HS-70 HS-80 HS-90
Office of Office of Office of Office of National Office of Office of Office of Office of
Health Nuclear Corporate Enforcement Training Independent Security Security Classification
and Safety and Safety Center Oversight Policy Technology
Safety Environment Analysis & Assistance Joan G. Hawthorne
Director
Andrew P.
Weston-Dawkes
Deputy Director
HS-11 HS-21 HS-31 HS-41 HS-51 HS-61 HS-71 HS-81 HS-91
Office of Office of Office of Office of Office of Office of Office of Office of Office of
Nuclear
Worker Corporate Worker Security Security Policy Security Quality
Safety and
Safety and Environmental Safety Safety and Training Evaluations Assistance Management
Health Policy Programs Health Operations
Policy Enforcement Nicholas G.
Prospero
Director
HS-12 HS-22 HS-32 HS-42 HS-52 HS-62 HS-72 HS-82 HS-92
Office of Office of Office of Office of Office of Office of Office of Office of Office of
Nuclear
Worker Safety and
Analysis Price- Safety Cyber Foreign Technology Technical
Safety and Environmental Anderson Training Security Visits and Guidance
Health Assistance Enforcement Operations Evaluations Assignments
Assistance
Edith A. Chalk
Director
HS-13 HS-43 HS-63 HS-93
Office of Office of Office of Office of
Domestic Security Emergency Document
Health Enforcement Management Reviews
Surveillances Oversight
and Studies
James A. Wendt
Director
HS-14 HS-64
Office of Office of
International Environment,
Health Safety
Studies and Health
Evaluations
Office of Classification
HS-90
Joan Hawthorne, Director
Andrew Weston-Dawkes, Deputy Director
HS-91 HS-92 HS-93
Office of Quality Office of Office of
Management Technical Guidance Document Reviews
Nick Prospero, Director Edie Chalk, Director James A. Wendt, Director
4 Federal Employees 8 Federal Employees 8 Federal Employees
22 Contractors 16 Contractors 42 Contractors
FY06 Appropriation -- 13.1 M
Classification Program Drivers
Atomic Energy Act Executive Order FOIA
RD/FRD/UCNI NSI OUO
Policies and Procedures Guidance
Regulations, Directives, Orders, Manuals
Production Tools
Knowledge
Preservation
and
Management Training and Outreach
Other Agencies, Field Classification Offices,
Individual Classifier Decisions,
Document Reviews
Examples of Classification
Training to DOE personnel
• Classification Managers -- Classification
Officers/Representatives Course (Three days)
• Classification/Declassification Authorities
– Original Classifier – Desk-side briefing
– Derivative Classifiers (DC)
• Policy Course (One day)
• Performance-based Test (Covers guides that DC will
use)
• Recertification Testing (Every three years)
– Derivative Declassifiers (DD)
• DD Policy Course (Two days)
• Recertification testing (Every three years)
EO and Kyl-Lott
Training
• DOE Specific Training (Reviewers trained to
meet E.O. 12958 and Kyl-Lott requirements)
– Intermediate Document Reviewers Course (Sixteen weeks)
– National Security Information Reviewers Course (Eight
weeks)
• DOE Training for Other Agency Reviewers
– Historical Record Restricted Data Reviewers Course
(HRRDRC) (Four days)
– RD Recognition and Records Processing Seminar (One
day)
– HRRDRC Refresher Training (Half day)
Kyl-Lott Related Training
Total Total
Course Courses Students
HRRDR 110 1,308
HRRDR 39 439
Refresher
Half-Day NA* 1,113
Seminar
* Most competed by reviewing video and
completing an exercise
Quality Assurance
Review Program
• Provides oversight to agencies conducting historical records
reviews pursuant to E.O.12958
– On-site visits
– Review of plans and data submitted to DOE
• Ensures compliance with DOE-NARA Special Historical
Records Review Plan that implements Public Laws 105-261 and
106-65
• Focuses on process and adherence to training requirements –
not document reviews
• Generates report identifying results and recommended
corrective actions
• Annual report to Congress on year’s activities required
Quality Assurance
Review Program
• 1999-2005
– 19 Agencies visited
– 25 QARs conducted
• 5 Reports submitted to Congress to
date
• 2006
– 6 Agencies submitted questionnaires and were
evaluated
– Follow up visits being considered
Document Review Efforts
Mr. Jim Wendt
Director, Office of Document Reviews
Office of Classification
Executive Order Program
• Review 25-year-old DOE permanent classified
records subject to EO 12958, Section 3.3
• Confirm whether NSI documents should be declassified
• Identify unmarked documents containing current NSI
• Identify RD/FRD/UCNI - excluded from EO requirement
Executive Order Program
• Initiated in 1995, expect review complete –
October 31, 2006 – 12.7M pages
• All records originated prior to December 31, 1981
• Review referred records by December 31,
2009
• Thereafter, as records become 25 years old,
review by December 31st of that year
• 135K pages (estimate) for FY-07
Executive Order Program
Review Process
Records
Management Select Records
Identifies Nearing 25 Year
Anniversary
Classified
Date
Permanent
DOE Records
Yes
Obtain Excluded RD/FRD Database Shipped to
Review Entry
Records Exempted NSI WNRC Suitland
Records
From Controlled UCNI Awaiting
Page-by- Page Declassified
Repositories and Perform Accession/
Unclassified Transfer to
QC Referred
Archives
Special Media NDI Database
Executive Order Program
12.7 Million Pages
Unclassified
68%
Declassified
10%
Referred 6%
UCNI 1%
NSI 1%
RD/FRD 14%
Historical Records
Audit Program
• Objective: Examine records declassified and made
available to the public at NARA by other govt. agencies
to identify DOE equities (RD/FRD and DOE NSI) and
withdraw them from public access
• Congressional Mandates
– PL 104-106: Protects RD from automatic
declassification
– PL 105-261: Requires plan to prevent inadvertent
release of RD/FRD
– PL 106-65: Extends reviews to cover all releases
under EO 12958
– PL 106-398: Provides for quarterly reports to
Congress
Historical Records
Audit Program
Complete audit of records previously made
available to the public that may contain RD/FRD
• PL 105-261: Requires plan to prevent inadvertent release
of RD/FRD
• PL 106-65: Extends reviews to cover all releases under
EO 12958
• Surveyed 213M pages
• Removed for Audit 37M pages
• Complete Audit October, 2006
Historical Records
Audit Program
Classified
213M Pages Documents FY07 Plan: Redact
consisting of Withdrawn Classified
Surveyed approximately
100K Pages
Documents
For Potential Withdrawn
Withdrawal
37M Pages
Withdrawn
and Audited
End of FY06 Begin FY07
Documents Withdrawn Pages Redacted
Historical Records
Audit Program
Prepare Quarterly Progress Reports for Congress
• PL 106-398: Provides for quarterly reports to
Congress
• Completed 22 Reports to-date and unclassified
versions are available to Public at:
» http://www.osti.gov/opennet/eo12958.jsp
• Final report (25th) scheduled for May, 2007
Historical Records Audit
Program
Quality Control Review Process
NARA Check of NARA
Makes Agency Reviewers No RD/FRD
Sample Notified
Collection and Process Used Review
Results of QCR
Available Results
Some RD/FRD
Not Reviewed
Page-By-Page
with Trained
NARA
Reviewer Continues
to Process
Collection Collection
Returned
for
Rework Significant RD/FRD Public
Release
Statutory Reviews
Program
Freedom of Information Act (FOIA)
• Required by 5 USC 552 as amended by Public Law No.
104-231
• Backlog at 206 requests
• For FY 2007, Resources transferred to eliminate backlog
> 1 year old
Statutory Reviews
Program
Mandatory Reviews
• Required by section 3.5 of EO 12958
• Backlog at 188 requests
• For FY 2007, Resources transferred to eliminate backlog
> 1 year old
• Patent Secrecy Reviews
• Required by Title 35, U.S. Code, Section 181
• Litigation Reviews
• Required by specific court orders
Statutory Reviews
Program
• Other reviews conducted on Congressional
materials, Security (compromise) investigations,
health/safety records, in-house authors, etc.
– Primary customers
• DOE, NNSA, Other Govt. Agencies, Am. Public,
Presidential Libraries, and Foreign Governments
• Approximately 70% of reviews “time sensitive”
FY07 Plans
• Support National Declassification Initiative
– Complete Referrals as required
– Complete QCR’s as required
• Review DOE records that become 25 yrs old
in FY07
• Complete Quarterly Reports to Congress
• Make significant progress in reducing FOIA
and Mandatory backlogs that are:
– not out for Coordinate review
– more than 1 year old.