# Presentation: 806131

## 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 Program

-  RD/FRD Program

**NNSA**

**DoD **
**FRD Joint ****Responsibility**

**DOE Staff**
**Offices**
- GC, IN, CN

**Other Agencies**
- DOS, CIA, DOJ

**DHS**

**DOE Energy, Science**** and Environment**

**Labs**

**Plants**

**Atomic Energy Act**

**Energy Reorganization Act**

- 10 CFR part 1045
- Nuclear Classification and
- Declassification

## Office of Health, Safety and Security

**Departmental**
**Representative**

**Office of**
**Resource Management**

**Office of Health, Safety and Security**

**9-8-06**

**Office of**
**Classification**

**Office of **
**Quality**
**Management**

**Office of**
**Technical **
**Guidance**

**Office of**
**Document **
**Reviews**

**Office of**
**Security**
**Technology**
**& Assistance**

**Office of**
**Security**
**Assistance**

**Office of**
**Technology**

**Office of**
**Security **
**Policy**

**Office of**
**Policy**

**Office of**
**Foreign **
**Visits and **
**Assignments**

**National**
**Training **
**Center**

**Office of**
**Security **
**Training**
**Operations**

**Office of**
**Safety **
**Training**
**Operations**

**Office of**
**Environment, **
**Safety**
**and Health **
**Evaluations**

**Office of**
**Independent**
**Oversight**

**Office of**
**Security **
**Evaluations**

**Office of**
**Cyber **
**Security**
**Evaluations**

**Office of**
**Emergency**
**Management **
**Oversight**

**Office of**
**Enforcement**

**Office of **
**Price-**
**Anderson**
**Enforcement**

**Office of **
**Security**
**Enforcement**

**Office of **
**Worker Safety and**
**Health**
**Enforcement**

**Office of**
**Corporate Safety **
**Analysis**

**Office of **
**Corporate**
**Safety**
**Programs**

**Office of **
**Analysis**

**Office of**
**Health and**
**Safety**

**Office of **
**Worker**
**Safety and**
**Health**
**Assistance**

**Office of**
**Worker **
**Safety and**
**Health**
**Policy**

**Office of **
**Domestic**
**Health**
**Surveillances**
**and Studies**

**Office of**
**International**
**Health Studies**

**Office of**
**Nuclear**
**Safety and**
**Environment**

**Office of**
**Nuclear **
**Safety and**
**Environmental**
**Policy**

**Office of**
**Nuclear **
**Safety and**
**Environmental**
**Assistance**

**Office of **
**Personnel Security**

**Office of**
**Security Operations**

**Office of **
**HQ Security Operations**

**Office of **
**Special Operations**

**Congressional Liaison and Outreach Program Office**

**Chief Health, Safety and Security Officer**

** ****Deputy Chief**
**for Operations**

** ****Deputy Chief for**
**Enforcement and **
**Technical Matters**

**Glenn S. Podonsky**

**Michael A. Kilpatrick**

**Office of**
**Business Operations**

**Office of**
**Information Management**

**Office of**
**Human Resources**
**& Administration**

**Joan G. Hawthorne**
**Director**

**Nicholas G. **
**Prospero**
**Director**

**Edith A. Chalk**
**Director**

**James A. Wendt**
**Director**

**HS-1**

**HS-1**

**HS-1.1**

**HS-1.3**

**HS-1.31**

**HS-1.32**

**HS-1.33**

**HS-1.2**

**HS-1.21**

**HS-1**

**HS-1.22**

**HS-1.23**

**HS-10**

**HS-11**

**HS-12**

**HS-13**

**HS-14**

**HS-20**

**HS-21**

**HS-22**

**HS-30**

**HS-31**

**HS-32**

**HS-40**

**HS-41**

**HS-42**

**HS-43**

**HS-50**

**HS-51**

**HS-52**

**HS-60**

**HS-61**

**HS-62**

**HS-63**

**HS-64**

**HS-70**

**HS-71**

**HS-72**

**HS-80**

**HS-81**

**HS-82**

**HS-90**

**HS-91**

**HS-92**

**HS-93**

**Andrew P. **
**Weston-Dawkes**
**Deputy Director**

## Office of Classification HS-90

**Joan Hawthorne, Director**
**Andrew Weston-Dawkes,  Deputy Director**

**Office of **
**Document Reviews**
***James A. Wendt, Director***
***8 Federal Employees***
***42 Contractors***

**Office of Quality****Management**
***Nick Prospero, Director***
***4 Federal Employees***
***22 Contractors***

**Office of **
**Technical Guidance**
***Edie Chalk, Director***
***8 Federal Employees***
***16 Contractors***

**HS-91**

**HS-92**

**HS-93**

- FY06 Appropriation  --  13.1 M

## Classification Program Drivers

- 	RD/FRD/UCNI	NSI	  OUO

**Policies and Procedures**
- Regulations, Directives, Orders, Manuals

**Guidance**

**Other Agencies, Field Classification Offices,**
**Individual Classifier Decisions, **
**Document Reviews**

**Training and Outreach**

**Knowledge**
** ****Preservation**
** ****and **
**Management**

**Production Tools**

***Evaluation ***

***Classification Program Drivers***

## 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

## 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

**Confirm whether NSI documents should be declassified**
**Identify unmarked documents containing current NSI**
**Identify RD/FRD/UCNI -  excluded from EO requirement**

**Executive Order Program**

## 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

**Records**
**Management**
**Identifies**
**Classified**
**Permanent**
**DOE Records**

**Yes**

**   **

**Select Records Nearing 25 Year Anniversary Date **

**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**

**Obtain **
**Records**
**From Repositories**

**NDI Database**

**Special Media**

**Review Process**

**Notes:**
THE PROCESS LOOKS SIMPLEM, BUT IT ISN’T.  THE FIRST THING WE DO IS TO LOCATE THE RECORD.  WE THEN 
DETERMINE OUR AUTHORITY OF THAT RECORD AND WHETHER IT CAN BE DECLASSIFIED.  WE CAN ONLY MAKE
 DECISIONS ON AIR FORCE INFORMATION.  THE REFERRAL PROCESS I THE DIFFICULT PART—RECOGNIZING AND
 TRAINING OTHERS TO RECOGNIZE OTHER AGENCY INFORMATION.  ONLY THEN, WILL BE HAVE A STRONG AND 
VIABLE PROGRAM TO REFER TO THE APPROPRIATE AGENCY.

JOINT REFERRAL CENTER.

## Executive Order Program

- 12.7 Million Pages

## 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

## 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

**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**

##  Historical Records Audit Program 

- 213M Pages
- Surveyed
- For Potential
- Withdrawal

- 37M Pages Withdrawn and Audited

**Classified Documents consisting of  approximately  100K Pages Withdrawn**

- Pages Redacted

-  **Historical Records**** Audit Program**

- FY07 Plan: Redact
- Withdrawn Classified
- Documents

- Begin FY07

- End of FY06

- Documents Withdrawn

## 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

**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 (25****th****) scheduled for May****, ****2007**

**Historical Records**** Audit Program**

## Historical Records Audit Program

**NARA**
**Makes**
**Collection**
**Available**

**Sample**
**Review**
**Results**

**NARA**
**Continues**
**to Process**
**Collection**

**NARA**
**Notified**
**of QCR**
**Results**

**Check of**
**Agency Reviewers and Process Used**

- No RD/FRD

- Some RD/FRD

- Significant RD/FRD

- Not Reviewed
- Page-By-Page
- with Trained
- Reviewer

**Collection Returned for**
**Rework**

**Public Release**

**Quality Control Review Process**

**Notes:**
THE PROCESS LOOKS SIMPLEM, BUT IT ISN’T.  THE FIRST THING WE DO IS TO LOCATE THE RECORD.  WE THEN 
DETERMINE OUR AUTHORITY OF THAT RECORD AND WHETHER IT CAN BE DECLASSIFIED.  WE CAN ONLY MAKE
 DECISIONS ON AIR FORCE INFORMATION.  THE REFERRAL PROCESS I THE DIFFICULT PART—RECOGNIZING AND
 TRAINING OTHERS TO RECOGNIZE OTHER AGENCY INFORMATION.  ONLY THEN, WILL BE HAVE A STRONG AND 
VIABLE PROGRAM TO REFER TO THE APPROPRIATE AGENCY.

JOINT REFERRAL CENTER.

## 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

**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

**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**

## 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.**