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.