enclosure

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. DoD FRD Joint Responsibility Atomic Energy Act RD/FRD Program Energy Reorganization Act NRC DOE Staff Offices GC, IN, CN DHS NNSA Other Agencies DOE Energy, Science and Environment DOS, CIA, DOJ Labs Plants 10 CFR part 1045 Nuclear Classification and Declassification Office of Health, Safety and Security HS-1.31 Office of HQ Security Operations 9-8-06 HS-1.21 Office of Business Operations Departmental Representative HS-1.1 Chief Health, Safety and Security Officer Glenn S. Podonsky HS-1 Office of HS-1.2 Resource Management HS-1.32 Office of Personnel Security HS-1.22 Office of Information Management HS-1.33 Office of Special Operations Office of HS-1.3 Security Operations Deputy Chief HS-1 for Operations Michael A. Kilpatrick Deputy Chief for Enforcement and Technical Matters Congressional HS-1 Liaison and Outreach Program Office HS-1.23 Office of Human Resources & Administration HS-10 HS-20 HS-30 HS-40 HS-50 HS-60 HS-70 HS-80 HS-90 Office of Health and Safety Office of Nuclear Safety and Environment Office of Corporate Safety Analysis Office of Enforcement National Training Center Office of Independent Oversight Office of Security Policy Office of Security Technology & Assistance Office of Classification Joan G. Hawthorne Director Andrew P. Weston-Dawkes Deputy Director HS-11 Office of Worker Safety and Health Policy Office of Nuclear Safety and Environmental Policy HS-21 HS-31 HS-41 HS-51 HS-61 HS-71 HS-81 HS-91 Office of Corporate Safety Programs Office of Worker Safety and Health Enforcement Office of Security Training Operations Office of Security Evaluations Office of Policy Office of Security Assistance Office of Quality Management Nicholas G. Prospero Director HS-12 Office of Worker Safety and Health Assistance Office of Nuclear Safety and Environmental Assistance HS-22 HS-32 HS-42 HS-52 HS-62 HS-72 HS-82 HS-92 Office of Analysis Office of PriceAnderson Enforcement Office of Safety Training Operations Office of Cyber Security Evaluations Office of Foreign Visits and Assignments Office of Technology Office of Technical Guidance Edith A. Chalk Director HS-13 HS-43 HS-63 HS-93 Office of Domestic Health Surveillances and Studies Office of Security Enforcement Office of Emergency Management Oversight Office of Document Reviews James A. Wendt Director HS-14 HS-64 Office of International Health Studies Office of Environment, Safety 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 Management Nick Prospero, Director 4 Federal Employees 22 Contractors Office of Technical Guidance Edie Chalk, Director 8 Federal Employees 16 Contractors Office of Document Reviews James A. Wendt, Director 8 Federal Employees 42 Contractors FY06 Appropriation -- 13.1 M Classification Program Drivers Atomic Energy Act RD/FRD/UCNI Executive Order NSI FOIA OUO Policies and Procedures Regulations, Directives, Orders, Manuals Guidance 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 Course HRRDR Courses 110 Total Students 1,308 HRRDR Refresher Half-Day Seminar 39 439 NA* 1,113 * 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 Identifies Classified Permanent DOE Records Select Records Nearing 25 Year Anniversary Date Yes Obtain Records From Repositories Review Records Page-by- Page and Perform QC Excluded RD/FRD Exempted NSI Controlled UCNI Declassified Unclassified Referred Database Entry Shipped to WNRC Suitland Awaiting Accession/ Transfer to Archives NDI Database Special Media 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 213M Pages Surveyed For Potential Withdrawal 37M Pages Withdrawn and Audited Classified Documents consisting of approximately 100K Pages Withdrawn FY07 Plan: Redact Withdrawn Classified Documents 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 Makes Collection Available Check of Agency Reviewers and Process Used NARA Notified of QCR Results Sample Review Results No RD/FRD Not Reviewed Page-By-Page with Trained Reviewer Some RD/FRD Collection Returned for Rework NARA Continues to Process Collection 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.